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3045661 pc Apr 09, 2026 tojuri Finland Financial Supervisory Authority horizon scanning
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Finland's Financial Supervisory Authority Publishes Thematic Assessment on Consumer Creditworthiness Evaluation

On April 8, 2026, the Financial Supervisory Authority (Finanssivalvonta) published a thematic assessment examining how domestic and selected foreign credit institutions operating in Finland evaluate consumer creditworthiness for unsecured consumer loans. The assessment, conducted during 2025, evaluated whether credit institutions' practices comply with consumer protection regulations. The assessment identified that credit institutions generally meet regulatory requirements, though deficiencies vary across institutions. Key findings include: all institutions use positive credit registers, though utilisation rates vary significantly; most institutions verify payment defaults, but not all adequately assess loan justification for consumers with default records; not all institutions ensure accuracy of financial data provided by consumers; many institutions fail to consider all material expenses when assessing repayment capacity; some institutions do not account for potential interest rate increases or income continuity factors; documentation deficiencies exist regarding record retention periods; and some institutions have not assessed whether their credit scoring models comply with equality legislation and discrimination prohibitions. The assessment notes that consumer protection requirements will be clarified in November 2026 when amendments implementing the Consumer Credit Directive (CCD2) take effect. Key regulatory changes include: credit institutions must define and maintain creditworthiness evaluation procedures; minimum requirements for data sources and accuracy verification will be explicitly specified; loan rejection reasons must be communicated promptly to consumers, with written explanations provided upon request; documentation retention periods will extend to five years from full loan maturity; and customer identification requirements when accessing positive credit registers will be mandatory. The Financial Supervisory Authority will use assessment findings to direct ongoing supervision and requires credit institutions to correct identified deficiencies.

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Finland's Financial Supervisory Authority Publishes Thematic Assessment on Consumer Creditworthiness Evaluation

On April 8, 2026, the Financial Supervisory Authority (FIN-FSA) published a thematic assessment examining how domestic and selected foreign credit institutions operating in Finland evaluate consumer creditworthiness for unsecured consumer loans. The assessment, conducted during 2025, evaluated whether credit institutions' practices comply with consumer protection regulations. The assessment identified that credit institutions generally meet regulatory requirements, although deficiencies vary across institutions. The key findings are as follows: All institutions use the positive credit information register when assessing consumers' creditworthiness. However, the extent to which the register's data is utilised varies significantly between different credit institutions. All credit institutions have properly implemented the use of income data, but not all utilise data on the amounts of existing loans. All credit institutions check default records as part of the creditworthiness assessment, and the majority of credit institutions will not grant new credit to consumers with default records. However, the FIN-FSA was unable to ensure that all credit institutions properly assess the justification for granting new credit to customers with default records. Not all credit institutions take all of a consumer's essential expenses into account in their liquidity calculations when assessing their solvency. In addition, liquidity calculations do not always take into account a possible increase in interest rates or factors affecting the continuity of a consumer's income. There were shortcomings in the documentation regarding the retention period of documents. Not all credit institutions retain documents related to the assessment of a consumer's creditworthiness for at least the duration of the credit relationship. FIN-FSA notes that consumer protection requirements will be clarified in November 2026 when amendments implementing the revised Consumer Credit Directive (CCD2) take effect. The key regulatory changes will include: The requirement for lenders to define and maintain creditworthiness evaluation procedures. The requirement that loan rejection reasons must be communicated promptly to consumers, with written explanations provided upon request. The extension of documentation retention periods which will extend to five years from full loan maturity. The FIN-FSA requires credit institutions to correct the deficiencies identified in the assessment.
3046227 pc Apr 09, 2026 tojuri Hungary Hungarian National Bank horizon scanning
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Hungary's Central Bank Orders OTP Bank to Install Automated Teller Machines in Designated Municipalities

On March 25, 2026, the Magyar Nemzeti Bank (MNB) issued Resolution H-KPL-I-3/2026 requiring OTP Bank Nyrt. to install and operate automated teller machines (ATMs) in compliance with the Automated Banknote Dispensers Act 2025 (ATMtv.). The MNB directed OTP Bank to fulfil its obligations under MNB Regulation 19/2025 (VI. 26.) regarding ATM installation and operation in municipalities with populations exceeding 1,000 residents. The bank must install ATMs in the specific municipalities and by the deadlines specified in Annex 1 of the resolution. The regulation establishes detailed rules for ATM installation criteria and the allocation of costs and burdens among payment service providers. The MNB also called upon OTP Bank to ensure full compliance with statutory requirements and MNB regulatory decisions regarding cash machine network operations and to demonstrate lawful conduct in future. The resolution warns that failure to meet the installation deadline will result in further enforcement action by the MNB under Section 75 of the MNB Act 2013 and Section 2(5) of the ATMtv., including fines ranging from HUF2,000,000 to HUF200,000,000. No procedural costs were incurred during the proceedings. The resolution was issued by Péter Benő Banai, MNB Deputy Governor responsible for analysis, payments, and central banking programmes.

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1348 chars · nid 91803

Hungarian National Bank Orders OTP Bank to Install Automated Teller Machines

In a decision dated March 25, 2026, the Hungarian National Bank (MNB) issued a decision requiring OTP Bank Nyrt to comply with obligations regarding the installation and operation of automated teller machines (ATMs). The decision mandates that OTP Bank Nyrt must fully comply with the requirements set out in MNB Regulation 19/2025 (VI. 26.) concerning the installation and operation of ATMs in municipalities with populations exceeding 1,000 residents. The bank is required to install ATMs in specified municipalities by designated deadlines as detailed in Annex 1 of the decision. The regulation establishes a framework for ATM installation criteria and cost-sharing arrangements among payment service providers. The MNB also calls upon OTP Bank Nyrt to ensure full compliance with all statutory requirements and MNB regulatory decisions concerning the operation and maintenance of ATMs within the cash machine network in the future, and to conduct itself lawfully in this regard. The decision specifies that failure to meet the installation obligations by the prescribed deadlines will result in further enforcement measures by the MNB. The bank faces potential fines ranging from HUF2m to HUF200m, in accordance with Section 75 of the MNB Act ( Act CXXXIX of 2013 ) and Section 2(5) of the Automated Teller Machine Act ( Act XVIII of 2025 ).
3046228 pc Apr 09, 2026 tojuri Hungary Hungarian National Bank horizon scanning
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Hungary's Central Bank Orders UniCredit Bank to Install Automated Teller Machines

On March 25, 2026, the Magyar Nemzeti Bank (MNB) issued Decision H-KPL-I-4/2026 requiring UniCredit Bank Zrt. to comply with obligations regarding the installation and operation of automated teller machines (ATMs). Under the framework of continuous supervision exercised pursuant to Section 45(a) of the Act on the Magyar Nemzeti Bank (2013. évi CXXXIX. törvény), the MNB directed UniCredit Bank Zrt. to fulfil its obligations under MNB Regulation 19/2025 (VI. 26.) concerning the installation and operation of ATMs in settlements with populations exceeding 1,000 residents. The bank must complete these obligations by April 30, 2026, and install ATMs in the specific settlements identified in Annex 1 of the decision. The obligation stems from the Act on Automated Banknote Dispensers (2025. évi XVIII. törvény), which establishes requirements for payment service providers regarding ATM network deployment and cost-sharing arrangements. The MNB emphasised that UniCredit Bank Zrt. must comply fully with all statutory provisions and regulatory decisions concerning ATM installation and operation going forward, and must demonstrate lawful conduct. The MNB cautioned that failure to meet the April 30, 2026 deadline will result in further enforcement measures and administrative fines ranging from HUF 2,000,000 to HUF 200,000,000, in accordance with Section 75 of the MNB Act and Section 2(5) of the Automated Banknote Dispenser Act. No procedural costs were incurred during the proceedings.

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1363 chars · nid 91802

Hungarian National Bank Orders UniCredit Bank to Install Automated Teller Machines

In a decision dated March 25, 2026, the Hungarian National Bank (MNB) issued a decision requiring UniCredit Bank Zrt to comply with obligations regarding the installation and operation of automated teller machines (ATMs). The decision mandates that UniCredit Bank Zrt must fully comply with the requirements set out in MNB Regulation 19/2025 (VI. 26.) concerning the installation and operation of ATMs in municipalities with populations exceeding 1,000 residents. The bank is required to install ATMs in specified municipalities by designated deadlines as detailed in Annex 1 of the decision. The regulation establishes a framework for ATM installation criteria and cost-sharing arrangements among payment service providers. The MNB also calls upon UniCredit Bank Zrt to ensure full compliance with all statutory requirements and MNB regulatory decisions concerning the operation and maintenance of ATMs within the cash machine network in the future, and to conduct itself lawfully in this regard. The decision specifies that failure to meet the installation obligations by the prescribed deadlines will result in further enforcement measures by the MNB. The bank faces potential fines ranging from HUF2m to HUF200m, in accordance with Section 75 of the MNB Act ( Act CXXXIX of 2013 ) and Section 2(5) of the Automated Teller Machine Act ( Act XVIII of 2025 ).
3046225 pc Apr 09, 2026 tojuri Hungary Hungarian National Bank horizon scanning
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Hungary's Central Bank Orders CIB Bank to Install Automated Teller Machines and Imposes Fine

On March 25, 2026, the Magyar Nemzeti Bank (MNB) issued Decision H-KPL-I-B-1/2026 against CIB Bank Zrt., requiring the institution to comply with obligations regarding automated teller machine (ATM) installation and imposing a financial penalty. The MNB determined that CIB Bank failed to fully meet its obligations under the Act on Automated Banknote Dispensers (2025 Act XVIII) and the MNB Regulation 19/2025 (VI. 26) governing ATM installation criteria and cost-sharing among payment service providers. Specifically, the bank did not adequately install and operate ATMs in settlements with populations exceeding 1,000 residents as required by law. The MNB's decision compels CIB Bank to install ATMs in specified settlements by designated deadlines as outlined in the decision's annex. The bank must ensure full compliance with statutory requirements and MNB regulatory decisions regarding ATM network installation and operation going forward. The MNB also imposed an administrative fine of HUF 20,000,000 (twenty million Hungarian forints) on the institution. CIB Bank must remit the fine within 30 days of the decision becoming final to MNB account 19017004-01671000-30900005, marked as "bírság" (fine) with the decision number referenced. Failure to pay within the specified deadline will result in late payment interest calculated at twice the MNB base rate divided by 365 for each calendar day. The decision noted no procedural costs were incurred during the proceedings. REFERENCE: Magyar Nemzeti Bank Decision H-KPL-I-B-1/2026 (March 25, 2026)

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1274 chars · nid 91801

Hungarian National Bank Imposes HUF20m Fine and Orders CIB Bank to Install Automated Teller Machines

In a decision dated March 25, 2026, the Hungarian National Bank (MNB) issued a decision against CIB Bank Zrt, requiring the institution to comply with obligations regarding the installation of automated teller machines (ATMs) and imposing a financial penalty. The MNB determined that CIB Bank failed to fully meet its obligations under the Automated Teller Machine Act ( Act XVIII of 2025 ) and the MNB Regulation 19/2025 (VI. 26) governing ATM installation criteria and cost-sharing among payment service providers. Specifically, the bank did not adequately install and operate ATMs in settlements with populations exceeding 1,000 residents as required by law. The MNB's decision compels CIB Bank to install ATMs in the specified settlements by the deadlines outlined in the decision's annex. The bank must ensure full compliance with statutory requirements and MNB regulatory decisions regarding ATM network installation and operation going forward. The MNB also imposed an administrative fine of HUF 20m on the institution. CIB Bank must remit the fine to the MNB within 30 days of the decision becoming final. Failure to pay within the specified deadline will result in late payment interest calculated at twice the MNB base rate divided by 365 for each calendar day.
3041736 pc Apr 09, 2026 reprocess Ukraine National Bank of Ukraine (NBU) horizon scanning
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Ukraine's National Bank Applies Enforcement Measures to One Bank and Five Non-Bank Financial Institutions for Financial Monitoring and Currency Law Violations

In March 2026, the National Bank of Ukraine (NBU) applied enforcement measures to one bank and five non-bank financial institutions for breaches of anti-money laundering and counter-terrorism financing (AML/CFT) legislation and currency law requirements. The enforcement actions and associated penalties were as follows: Joint-Stock Company "Crédit Agricole Bank" received a fine of 300,000 Ukrainian hryvnia (UAH) for failing to suspend expenditure financial operations following a decision by the designated authority and for terminating a client's bank account while funds remained frozen under AML/CFT law. Limited Liability Company "Financial Company 'Alliance Capital Group'" was fined 1,000,000 UAH for unlawfully refusing currency exchange operations involving foreign banknotes that matched official central bank specifications. Limited Liability Company "Financial Company 'Hertz'" received a fine of 612,000 UAH for inadequate implementation of risk-based approaches, failure to develop sufficient internal AML/CFT procedures, inadequate customer due diligence, and failure to provide complete and accurate information to the NBU during supervisory requests. Limited Liability Company "Financial Company 'Tiger Invest'" was fined 400,000 UAH for conducting currency exchange operations without providing clients with proper documentation and receipts simultaneously with transaction completion. Private Joint-Stock Company "UFG" received a fine of 85,000 UAH for failing to identify, register, and report threshold financial operations subject to financial monitoring. Limited Liability Company "UPR" was fined 1,700 UAH for failing to submit a timely response to a written warning regarding AML/CFT violations within the required five business days. These enforcement actions reflect the NBU's ongoing supervisory efforts to ensure compliance with Ukraine's financial monitoring and currency regulations across the financial services sector.

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1955 chars · nid 91800

Ukraine's National Bank Applies Enforcement Measures to One Bank and Five Non-Bank Financial Institutions for Financial Monitoring and Currency Law Violations

In March 2026, the National Bank of Ukraine (NBU) applied enforcement measures to one bank and five non-bank financial institutions for breaches of anti-money laundering and counter-terrorism financing (AML/CFT) legislation and currency law requirements. The enforcement actions and associated penalties were as follows: Joint-Stock Company "Crédit Agricole Bank" received a fine of 300,000 Ukrainian hryvnia (UAH) for failing to suspend expenditure financial operations following a decision by the designated authority and for terminating a client's bank account while funds remained frozen under AML/CFT law. Limited Liability Company "Financial Company 'Alliance Capital Group'" was fined 1,000,000 UAH for unlawfully refusing currency exchange operations involving foreign banknotes that matched official central bank specifications. Limited Liability Company "Financial Company 'Hertz'" received a fine of 612,000 UAH for inadequate implementation of risk-based approaches, failure to develop sufficient internal AML/CFT procedures, inadequate customer due diligence, and failure to provide complete and accurate information to the NBU during supervisory requests. Limited Liability Company "Financial Company 'Tiger Invest'" was fined 400,000 UAH for conducting currency exchange operations without providing clients with proper documentation and receipts simultaneously with transaction completion. Private Joint-Stock Company "UFG" received a fine of 85,000 UAH for failing to identify, register, and report threshold financial operations subject to financial monitoring. Limited Liability Company "UPR" was fined 1,700 UAH for failing to submit a timely response to a written warning regarding AML/CFT violations within the required five business days. These enforcement actions reflect the NBU's ongoing supervisory efforts to ensure compliance with Ukraine's financial monitoring and currency regulations across the financial services sector.
3046226 pc Apr 09, 2026 tojuri Hungary Hungarian National Bank horizon scanning
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Hungary's Central Bank Orders Erste Bank Hungary to Install Automated Teller Machines

On March 25, 2026, the Magyar Nemzeti Bank (MNB) issued Decision H-KPL-I-2/2026 requiring Erste Bank Hungary Zrt. to comply with obligations regarding the installation and operation of automated teller machines (ATMs). The decision mandates that Erste Bank Hungary must fully comply with the requirements set out in MNB Regulation 19/2025 (VI. 26.) concerning the installation and operation of ATMs in municipalities with populations exceeding 1,000 residents. The bank is required to install ATMs in specified municipalities by designated deadlines as detailed in Annex 1 of the decision. The regulation establishes a framework for ATM installation criteria and cost-sharing arrangements among payment service providers. The MNB also calls upon Erste Bank Hungary to ensure full compliance with all statutory requirements and MNB regulatory decisions concerning the operation and maintenance of ATMs within the cash machine network in the future, and to conduct itself lawfully in this regard. The decision specifies that failure to meet the installation obligations by the prescribed deadlines will result in further enforcement measures by the MNB. The bank faces potential fines ranging from HUF 2 million to HUF 200 million, in accordance with Section 75 of the MNB Act (Act CXXXIX of 2013) and Section 2(5) of the Automated Teller Machine Act (Act XVIII of 2025). No procedural costs were incurred during the proceedings.

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1372 chars · nid 91798

Hungarian National Bank Orders Erste Bank Hungary to Install Automated Teller Machines

In a decision dated March 25, 2026, the Hungarian National Bank (MNB) issued a decision requiring Erste Bank Hungary Zrt to comply with obligations regarding the installation and operation of automated teller machines (ATMs). The decision mandates that Erste Bank Hungary must fully comply with the requirements set out in MNB Regulation 19/2025 (VI. 26.) concerning the installation and operation of ATMs in municipalities with populations exceeding 1,000 residents. The bank is required to install ATMs in the specified municipalities by the designated deadlines detailed in Annex 1 of the decision. The regulation establishes a framework for ATM installation criteria and cost-sharing arrangements among payment service providers. The MNB also calls upon Erste Bank Hungary to ensure full compliance with all statutory requirements and MNB regulatory decisions concerning the operation and maintenance of ATMs within the cash machine network in the future, and to conduct itself lawfully in this regard. The decision specifies that failure to meet the installation obligations by the prescribed deadlines will result in further enforcement measures by the MNB. The bank faces potential fines ranging from HUF2m to HUF200m, in accordance with Section 75 of the MNB Act ( Act CXXXIX of 2013 ) and Section 2(5) of the Automated Teller Machine Act ( Act XVIII of 2025 ).
3047147 pc Apr 09, 2026 tojuri Spain Bank of Spain horizon scanning
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Bank of Spain Updates Good Practice Compendium with New Criteria on Inheritance, Disability Access and Consumer Credit

On April 8, 2026, the Bank of Spain (Banco de España) updated its Compendium of Good Practices (Compendio de Buenas Prácticas), incorporating new criteria addressing the treatment of persons with disabilities in their interactions with banks. This second update to the Compendium revises and modernises existing guidance to reflect recent regulatory developments affecting customers. The update includes three key areas: new standards for accessibility and service provision to persons with disabilities; revised criteria governing consumer lending practices; and updated procedures for handling banking matters following the death of a customer, including inheritance-related processes. The updated Compendium reflects the Bank of Spain's commitment to ensuring that credit institutions provide appropriate and equitable service to all customer segments, including vulnerable populations. The inclusion of disability access criteria aligns with broader regulatory efforts across the European Union to enhance consumer protection and non-discrimination in financial services. Credit institutions operating in Spain should review the updated Compendium to ensure their policies, procedures and staff training align with the new good practice standards. The Compendium serves as guidance for credit entities on conduct standards and customer service expectations established by the Bank of Spain's supervisory framework. REFERENCES: Bank of Spain Press Release: El Banco de España actualiza su Compendio de Buenas Prácticas con nuevos criterios sobre herencias, personas con discapacidad y créditos al consumo (April 8, 2026)

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1082 chars · nid 91793

Banco de España Updates Compendium of Good Banking Practice with New Criteria on Inheritance, Disability Access and Consumer Credit

On April 8, 2026, the Banco de España updated its Compendium of Good Banking Practices, incorporating new criteria on inheritances, people with disabilities and consumer credit. The update to the compendium incorporates new criteria regarding the treatment of people with disabilities in their dealings with banks, as well as revises the criteria related to consumer loans and the procedures following the death of a bank customer. The update includes three key areas: New standards for accessibility and service provision to persons with disabilities. Revised criteria governing consumer lending practices. Updated procedures for handling banking matters following the death of a customer, including inheritance-related processes. Credit institutions operating in Spain should review the updated compendium to ensure their policies, procedures and staff training align with the new good-practice standards. The compendium serves as guidance for credit entities on conduct standards and customer service expectations established by the Banco de España's supervisory framework.
3048463 pc Apr 09, 2026 rghosh Vietnam Vietnam Government Portal financial services
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Vietnam's State Bank Publishes List of Regulations Ceasing Effect in 2025

On January 30, 2026, the State Bank of Vietnam (SBV) published Decision No. 138/QĐ-NHNN, which establishes a comprehensive list of regulatory documents that ceased to have effect, suspended effect entirely, or suspended effect partially during 2025 within the State Bank of Vietnam's regulatory remit. The decision represents the SBV's formal cataloguing of regulatory changes affecting its sphere of state management authority. This administrative action serves to clarify the current regulatory landscape by identifying which previously issued normative legal documents no longer apply or have limited applicability. The publication of such lists is a standard practice in Vietnamese administrative governance, enabling regulated entities, government agencies, and stakeholders to maintain accurate understanding of which regulations remain in force. The decision was published in Official Gazette No. 189 dated April 9, 2026, and is accessible through the Government's electronic gazette portal (congbao.chinhphu.vn). Regulated entities and stakeholders should consult the full decision to identify which specific regulations affecting their operations have ceased or suspended effect. The State Bank of Vietnam's Office of Government (Văn phòng Chính phủ) administers the official gazette publication system. **Reference:** State Bank of Vietnam, Decision No. 138/QĐ-NHNN on the publication of the list of regulatory documents ceasing or suspending effect in 2025, Official Gazette No. 189 (April 9, 2026). Available at: congbao.chinhphu.vn

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613 chars · nid 91838

Vietnam's State Bank Publishes List of Regulations Ceasing Effect in 2025

On April 9, 2026, the State Bank of Vietnam (SBV) published a comprehensive list of regulatory documents that ceased to have effect, suspended effect entirely, or suspended effect partially during 2025 within the State Bank of Vietnam's regulatory remit. This administrative action serves to clarify the current regulatory landscape by identifying which previously issued normative legal documents no longer apply or have limited applicability. Regulated entities and stakeholders should consult the full decision to identify which specific regulations affecting their operations have ceased or suspended effect.
3070627 pc Apr 09, 2026 ggallwey New Hampshire Banking Department financial services
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New Hampshire Banking Department Readopts Organizational Rules with Structural Amendments

On April 9, 2026, the New Hampshire Banking Department issued a rulemaking notice to readopt and amend its organizational rules under Ban 100, which describes the Department's organization, operations, and methods for public accessibility in accordance with RSA 541-A:16, I(a). The proposed amendments reflect a recent structural reorganization within the Department. Key changes include combining the Department's former Trust and Banking Divisions into a single Chartered Institutions Division; adjusting the Department's office closure time; expanding descriptions of the Department's purpose, scope, divisions, and functions; and updating information regarding the Department's website, as a licensee list is no longer maintained there. The amendments affect all financial services entities supervised by the Department, including state banks, credit unions, trust companies, family trust companies, and consumer credit businesses. The rules also inform the general public about the Department's organization and how to access its information and services. The fiscal impact statement confirms there is no difference in costs between the proposed and existing rules, with no impact on state general or special funds, state citizens, political subdivisions, or independently owned businesses. The proposed rules do not violate Part I, Article 28-a of the New Hampshire Constitution and do not mandate new or expanded programs or responsibilities for any political subdivision. A public hearing is scheduled for Thursday, May 14, 2026, at 11:00 AM at the New Hampshire Banking Department, 53 Regional Drive, Suite 200, Concord, New Hampshire 03301. Written submissions must be received by Friday, May 22, 2026, and should be directed to legal@banking.nh.gov. Inquiries may be directed to Catherine Davidow, Hearings Examiner, at (603) 271-3561 or catherine.j.davidow@banking.nh.gov.

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1398 chars · nid 92012

New Hampshire Banking Department Issues Rulemaking Notice Regarding Organizational Rules

On April 9, 2026, the New Hampshire Banking Department (the Department) issued a rulemaking notice proposing the readoption with amendments of its organizational rules (Ban 100), which set out the Department’s structure, operations, and processes for public access to information in accordance with RSA 541-A:16, I(a). The proposed amendments are administrative in nature and aim to update the rules to reflect the Department’s current organizational structure and practices. Key changes include the consolidation of the Trust and Banking Divisions into a single Chartered Institutions Division, updates to office hours, expanded descriptions of the Department’s functions and scope, and revisions to website references following the removal of publicly available licensee listings. The rules apply broadly to all entities supervised by the Department, including banks, credit unions, money transmitters, trust companies, and consumer credit businesses, as well as to members of the public seeking to interact with the Department. The organizational rules do not expire, and the proposed readoption is intended to ensure that required information on the Department’s structure and operations remains current. The proposal does not introduce new compliance obligations or costs for regulated entities. A public hearing is scheduled for May 14, 2026, and written comments are due by May 22, 2026.
3051352 pc Apr 09, 2026 rghosh Hong Kong News - Securities and Futures Commission financial services
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Hong Kong's Securities and Futures Commission Sanctions Impression Investment Limited Over Staff Trading Failures

On 9 April 2026, the Securities and Futures Commission (SFC) reprimanded and fined Impression Investment Limited HK$2 million for failing to diligently supervise its staff and maintain effective internal controls over staff trading activities. The SFC also prohibited Mr Liu Shan, a former director and responsible officer of Impression, from re-entering the industry for eight months, effective 2 April 2026 to 1 December 2026. The SFC's investigation found that between January 2016 and March 2021, Liu and another staff member engaged in personal trading contrary to regulatory requirements while responsible for making investment decisions for funds managed by Impression. Liu conducted over 2,500 personal transactions without obtaining prior written approval from Impression's designated officer and traded in the same securities on the same day as the funds he managed over 200 times, sometimes at more favourable prices. He participated in 12 initial public offerings through personal accounts, subscribing for the same IPO shares as the funds he managed, and failed to hold personal investments for the required minimum 30-day period on 29 occasions. The SFC determined that these activities breached the Fund Manager Code of Conduct and Impression's staff dealing policies. Although Impression maintained written staff dealing policies, they were neither implemented nor enforced prior to 2021. The SFC found that Impression failed to maintain effective procedures and controls to monitor staff personal trading activities and detect irregularities. The SFC attributed these failures to Liu's neglect in discharging his duties as responsible officer and senior management member. In mitigation, the SFC considered that Impression implemented regular post-trade monitoring of staff personal trades since 2021 and cooperated with the SFC in resolving concerns.

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695 chars · nid 91834

Hong Kong's Securities and Futures Commission Sanctions Impression Investment Limited Over Staff Trading Failures

On 9 April 2026, the Securities and Futures Commission (SFC) reprimanded and fined Impression Investment Limited HK$2 million (approximately USD 255,000) for failing to diligently supervise its staff and maintain effective internal controls over staff trading activities. The SFC also prohibited a former director and responsible officer of Impression, from re-entering the industry for eight months, The SFC found that Impression failed to maintain effective procedures and controls to monitor staff personal trading activities and detect irregularities. The SFC attributed these failures to the director's neglect in discharging his duties as responsible officer and senior management member.
3070630 pc Apr 09, 2026 ggallwey New Hampshire Banking Department financial services
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New Hampshire Readopts and Amends Public Deposit Collateralization Rule

On March 26, 2026, New Hampshire readopted with amendments Part Ban 1450, effective June 1, 2016, establishing rules for the collateralization of public deposits. The rule identifies and classifies by risk those securities appropriate for securing public funds belonging to New Hampshire state entities, counties, cities, towns, districts, school districts, and other political subdivisions. Under Ban 1450.03, the value of securities pledged as collateral must equal or exceed the amount of public funds on deposit, less any portion covered by federal deposit insurance. Securities are valued at market value. Ban 1450.04 establishes acceptable collateral, including all public obligations under RSA 383-B:3-303(c), federal agency obligations (Export-Import Bank, General Services Administration, Maritime Administration, Small Business Administration, Tennessee Valley Authority), and Department of Housing and Urban Development obligations including Federal Housing Administration, Government National Mortgage Association, community development, and public housing notes and bonds. Federal government-sponsored enterprises (GSEs) qualify as acceptable collateral if assigned investment-grade ratings of at least AA+ with S&P Global Ratings and Fitch Ratings, and Aa1 with Moody's Investors Service, or rated commensurate with the United States government's sovereign rating. Qualifying GSEs include Federal Farm Credit Banks, Federal Home Loan Banks, Federal Home Loan Mortgage Corporation (Freddie Mac), and Federal National Mortgage Association (Fannie Mae). Ban 1450.05 permits bonds and notes authorized as legal investments for banks under RSA 383-B:3-303(d)(1), excluding convertible bonds not rated among the three highest ratings of any Nationally Recognized Statistical Rating Organization (NRSRO). All enumerated collateral is classified as low-risk for public funds on deposit.

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1617 chars · nid 92011

New Hampshire Banking Department Issues Rulemaking Notice to Amend Public Deposit Collateralization Rule

On April 9, 2026, the New Hampshire Banking Department issued a rulemaking notice proposing the readoption with amendments of Rule Ban 1450, which governs the collateralization of public deposits held by financial institutions. The rule sets out the types of securities that may be used to secure public funds and requires that pledged collateral be maintained at market value equal to or exceeding uninsured public deposits. It also classifies eligible collateral by risk and establishes criteria for acceptable instruments. The proposed amendments update the framework to reflect current market practices and introduce more specific eligibility criteria. In particular, the amendments establish minimum credit rating requirements for obligations issued by government-sponsored enterprises (GSEs), requiring high investment-grade ratings or alignment with the U.S. sovereign rating. The amendments also clarify the categorization of certain federal entities, including the Tennessee Valley Authority, and introduce an explicit requirement that institutions exercise reasonable care when selecting collateral. The rules apply to financial institutions that accept public deposits from New Hampshire public entities. The current rule, originally adopted in 2016, was due to expire in June 2026 and has been extended pending completion of the rulemaking process. The proposal does not introduce additional costs and is intended to maintain alignment with existing practices while improving clarity and risk specification. A public hearing is scheduled for May 14, 2026, and written comments are due by May 22, 2026.
3052824 pc Apr 09, 2026 rghosh Hong Kong Hong Kong Monetary Authority financial services
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Hong Kong Monetary Authority Issues Good Practices on Integrating Climate-Related Risks into Capital Adequacy Assessment

On April 9, 2026, the Hong Kong Monetary Authority (HKMA) issued guidance on current good practices for integrating climate-related risks into the internal capital adequacy assessment process and capital planning for authorized institutions. The guidance addresses how authorized institutions should incorporate climate-related risk considerations into their Pillar 2 capital adequacy frameworks. This development reflects the HKMA's continued focus on ensuring that banks adequately identify, measure, and manage climate-related financial risks as part of their supervisory review processes. The guidance is applicable to all authorized institutions operating in Hong Kong and forms part of the HKMA's broader green and sustainable banking regulatory framework. The issuance of this guidance follows the HKMA's consultation on the revised Supervisory Review Process module (CA-G-5), which concluded on March 19, 2026. The good practices document provides banks with a framework for assessing how climate risks—including physical and transition risks—should be factored into their capital planning and internal capital adequacy assessment processes. This ensures that institutions maintain sufficient capital buffers to withstand potential climate-related financial impacts. Authorized institutions should review the guidance and assess their current practices against the recommended good practices outlined in the document. The guidance is effective immediately and should inform institutions' ongoing capital adequacy assessments and planning processes going forward. **Reference:** Hong Kong Monetary Authority Banking Regulatory Document Repository: Current Good Practices on Integrating Climate-Related Risks into Internal Capital Adequacy Assessment Process and Capital Planning (April 9, 2026)

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Hong Kong Monetary Authority Issues Good Practices on Integrating Climate-Related Risks into Capital Adequacy Assessment

On April 9, 2026, the Hong Kong Monetary Authority (HKMA) issued guidance on current good practices for integrating climate-related risks into the internal capital adequacy assessment process and capital planning for authorized institutions. The guidance addresses how authorized institutions should incorporate climate-related risk considerations into their Pillar 2 capital adequacy frameworks. This development reflects the HKMA's continued focus on ensuring that banks adequately identify, measure, and manage climate-related financial risks as part of their supervisory review processes. The guidance is applicable to all authorized institutions operating in Hong Kong and forms part of the HKMA's broader green and sustainable banking regulatory framework. The issuance of this guidance follows the HKMA's consultation on the revised Supervisory Review Process module (CA-G-5), which concluded on March 19, 2026. The good practices document provides banks with a framework for assessing how climate risks—including physical and transition risks—should be factored into their capital planning and internal capital adequacy assessment processes. This ensures that institutions maintain sufficient capital buffers to withstand potential climate-related financial impacts. Authorized institutions should review the guidance and assess their current practices against the recommended good practices outlined in the document. The guidance is effective immediately and should inform institutions' ongoing capital adequacy assessments and planning processes going forward.
3049291 pc Apr 09, 2026 rghosh India Reserve Bank of India horizon scanning
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India's Reserve Bank Issues Guidelines to Facilitate Faster Cross-Border Inward Payments

On April 9, 2026, the Reserve Bank of India (RBI) issued a circular containing guidelines designed to facilitate faster cross-border inward payments. The circular addresses frictions identified in inward cross-border payment processes to enable timely intimation of payment information and expedited crediting of funds to beneficiary accounts. The RBI had previously released a draft circular on October 29, 2025, inviting stakeholder feedback. Following examination of the feedback received during the consultation period, the RBI incorporated consequent modifications into the final circular. A statement detailing major feedback received on the draft circular is provided in the circular's annex. The guidelines are applicable to banks and financial institutions involved in processing cross-border inward remittances and payments to India. The circular aims to streamline payment settlement processes and reduce delays in fund crediting, benefiting individuals and businesses receiving international payments. The circular is effective immediately upon issuance and supersedes any previous guidance on the subject. Financial institutions are required to ensure compliance with the guidelines and implement necessary operational changes to facilitate faster payment processing and beneficiary notification. **Reference:** Reserve Bank of India Press Release 2026-2027/56 (April 9, 2026)

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Reserve Bank of India Issues Guidelines to Facilitate Faster Cross-Border Inward Payments

On April 9, 2026, the Reserve Bank of India (RBI) issued a circular containing guidelines designed to facilitate faster cross-border inward payments. The circular addresses frictions identified in inward cross-border payment processes to enable timely intimation of payment information and expedited crediting of funds to beneficiary accounts. The RBI had previously released a draft circular on October 29, 2025 , inviting stakeholder feedback. Following examination of the feedback received during the consultation period, the RBI incorporated consequent modifications into the final circular. A statement detailing major feedback received on the draft circular is provided in the circular's annex. The guidelines are applicable to banks and financial institutions involved in processing cross-border inward remittances and payments to India. The circular aims to streamline payment settlement processes and reduce delays in fund crediting, benefiting individuals and businesses receiving international payments. The circular is effective immediately upon issuance and supersedes any previous guidance on the subject. Financial institutions are required to ensure compliance with the guidelines and implement necessary operational changes to facilitate faster payment processing and beneficiary notification.
3048545 pc Apr 09, 2026 rghosh Japan Financial Services Agency horizon scanning
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Japan's Financial Services Agency Publishes Regulatory Impact Analysis for Fiscal Year 2026

On April 9, 2026, the Financial Services Agency (FSA) published its Regulatory Impact Analysis (RIA) assessments for fiscal year 2026. The RIA is a methodology designed to enhance the objectivity and transparency of financial regulations by objectively analysing and disclosing the anticipated costs and effects of introducing or modifying regulations. The FSA published two pre-implementation regulatory impact assessments. The first addresses measures to ensure market fairness, transparency, and investor protection. The second assessment covers the establishment of systems for non-financial information disclosure and audit certification, alongside revisions to disclosure systems in response to evolving information disclosure environments. Both assessments were published on April 9, 2026, and are available as downloadable documents on the FSA website. The RIA process applies to regulations introduced through legislation or cabinet orders. By conducting these analyses prior to implementation, the FSA aims to provide stakeholders with transparent insight into the regulatory framework's anticipated impact on market participants and the broader financial system. This approach supports evidence-based policymaking and allows for informed consideration of regulatory proposals before they take effect. REFERENCES: Financial Services Agency. Regulatory Impact Analysis for Fiscal Year 2026. Available at: https://www.fsa.go.jp/

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Japan's Financial Services Agency Publishes Regulatory Impact Analysis for Fiscal Year 2026

On April 9, 2026, the Financial Services Agency (FSA) published its Regulatory Impact Analysis (RIA) assessments for fiscal year 2026. The RIA is a methodology designed to enhance the objectivity and transparency of financial regulations by objectively analysing and disclosing the anticipated costs and effects of introducing or modifying regulations. The FSA published two pre-implementation regulatory impact assessments. The first addresses measures to ensure market fairness, transparency, and investor protection. The second assessment covers the establishment of systems for non-financial information disclosure and audit certification, alongside revisions to disclosure systems in response to evolving information disclosure environments. Key takeaways include: Mandatory sustainability reporting : Prime Market companies with a market cap of ¥500 billion (approximately USD 3.14 billion)  or more must disclose Specified Non-Financial Information (climate and business challenges) using standardized SSBJ criteria. Mandatory third-party audits : To ensure reliability, these sustainability disclosures must be verified by registered audit certification providers. Safe harbor implementation : A new rule protects companies from civil liability for forward-looking statements in non-financial reports to encourage more transparent, less "cookie-cutter" disclosure. Reduced startup costs : The threshold for filing a Securities Registration Statement is rising from ¥100 million to ¥500 million, significantly lowering the administrative burden for small-scale fundraising. Simplified equity compensation : Issuing stock options to employees or officers—including at unlisted companies will be classified as a private placement, removing the need for registration statements The RIA process applies to regulations introduced through legislation or cabinet orders. By conducting these analyses prior to implementation, the FSA aims to provide stakeholders with transparent insight into the regulatory framework's anticipated impact on market participants and the broader financial system.
3052842 pc Apr 09, 2026 rghosh India Reserve Bank of India financial services
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India's Reserve Bank Invites Public Comments on Digital Payments Fraud Safeguards Discussion Paper

On April 9, 2026, the Reserve Bank of India (RBI) issued a Discussion Paper on Exploring safeguards in digital payments to curb frauds and invited public comments on the proposals. The Discussion Paper responds to the rapid expansion of digital payments in India over the past decade, which has been accompanied by increasingly sophisticated fraudulent activities targeting customers. The RBI aims to promote digital payments in a safe and secure manner while maintaining the structural shift towards digital financial transactions. The Discussion Paper was announced as part of the RBI's Statement on Developmental and Regulatory Policies dated February 6, 2026, and addresses the need for enhanced consumer protection mechanisms within India's digital payments ecosystem. The Discussion Paper raises specific questions regarding potential safeguards and invites stakeholder feedback on proposed protective measures. The consultation applies to all entities involved in digital payments, including payment service providers, financial institutions, and other market participants. Members of the public and relevant stakeholders may submit comments and feedback through the 'Connect 2 Regulate' link on the RBI website. The comment period closes on May 8, 2026. The RBI will use responses to inform the development of regulatory safeguards designed to protect consumers while supporting continued growth in digital payment adoption across India.

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Reserve Bank of India Invites Public Comments on Digital Payments Fraud Safeguards Discussion Paper

On April 9, 2026, the Reserve Bank of India (RBI) issued a Discussion Paper on exploring safeguards in digital payments to curb frauds and invited public comments on the proposals. The Discussion Paper responds to the rapid expansion of digital payments in India over the past decade, which has been accompanied by increasingly sophisticated fraudulent activities targeting customers. It was announced as part of the RBI's Statement on Developmental and Regulatory Policies and addresses the need for enhanced consumer protection mechanisms within India's digital payments ecosystem. It raises specific questions regarding potential safeguards and invites stakeholder feedback on proposed protective measures. The consultation applies to all entities involved in digital payments, including payment service providers, financial institutions, and other market participants. Members of the public and relevant stakeholders may submit comments and feedback through the 'Connect 2 Regulate' link on the RBI website. The comment period closes on May 8, 2026. The RBI will use responses to inform the development of regulatory safeguards designed to protect consumers while supporting continued growth in digital payment adoption across India.
3050290 pc Apr 09, 2026 rghosh Taiwan Financial Supervisory Commission (FSC) - Securities Bureau - financial services
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Taiwan's Financial Supervisory Commission Amends Wealth Management Guidelines for Securities Companies

On April 9, 2026, the Financial Supervisory Commission (FSC), Securities and Futures Bureau issued an amendment to the "Matters Requiring Attention for Securities Companies Conducting Wealth Management Business" (FSC Securities Letter No. 11503809664). The amendment modifies specific provisions governing how securities companies in Taiwan conduct wealth management operations. The FSC issued this directive to securities companies operating in the wealth management sector, establishing updated requirements and standards for their business practices. The amendment became effective immediately upon issuance. The FSC has published a comprehensive summary document and a detailed comparison table outlining the amendments and their corresponding provisions to assist securities companies in understanding and implementing the changes. Securities companies are required to ensure compliance with the amended guidelines. REFERENCES: Financial Supervisory Commission, Securities and Futures Bureau. "修正「證券商辦理財富管理業務應注意事項」部分規定之令" (Amendment to Matters Requiring Attention for Securities Companies Conducting Wealth Management Business). April 9, 2026. Available at: https://www.sfb.gov.tw/

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Taiwan's Financial Supervisory Commission Amends Wealth Management Guidelines for Securities Companies

On April 9, 2026, the Financial Supervisory Commission (FSC), Securities and Futures Bureau issued an amendment to the "Matters Requiring Attention for Securities Companies Conducting Wealth Management Business" (FSC Securities Letter No. 11503809664). The amendment modifies specific provisions governing how securities companies in Taiwan conduct wealth management operations. The FSC issued this directive to securities companies operating in the wealth management sector, establishing updated requirements and standards for their business practices. The amendment became effective immediately upon issuance. The FSC has published a comprehensive summary document and a detailed comparison table outlining the amendments and their corresponding provisions to assist securities companies in understanding and implementing the changes. Securities companies are required to ensure compliance with the amended guidelines.
3049476 gc Apr 09, 2026 gkaliraman Sweden Regulator - news gamblingcompliance
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Sweden's Gambling Inspectorate Issues Remarks to Bingoföreningen Sverige for Insufficient Information in Bingo Halls

On April 9, 2026, Spelinspektionen (Sweden's Gambling Inspectorate) issued remarks to Bingoföreningen Sverige for failing to meet information requirements in bingo halls. The remarks concern deficiencies identified in two bingo halls operated by Bingoföreningen Sverige: Idrottens Bingo in Linköping and Bingoringen in Karlskoga. Spelinspektionen conducted an inspection to verify whether the licence holder complied with information obligations required in bingo halls. These obligations include ensuring that the licence holder's contact details and responsible gambling information are easily accessible to players. Bingoföreningen Sverige must address the identified shortcomings in information provision at both venues. The inspectorate's findings indicate gaps in the operator's compliance with regulatory requirements for player information and responsible gambling messaging in its bingo hall operations. REFERENCES: Spelinspektionen. "Bingoföreningen Sverige får anmärkning för bristande information i bingohallar." April 9, 2026. Available at: https://www.spelinspektionen.se/

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Sweden's Gambling Inspectorate Issues Remarks to Bingoföreningen Sverige for Insufficient Information in Bingo Halls

On April 9, 2026, Spelinspektionen (Sweden's Gambling Inspectorate) issued remarks to Bingoföreningen Sverige for failing to meet information requirements in bingo halls. The remarks concern deficiencies identified in two bingo halls operated by Bingoföreningen Sverige: Idrottens Bingo in Linköping and Bingoringen in Karlskoga. Spelinspektionen conducted an inspection to verify whether the licence holder complied with information obligations required in bingo halls. These obligations include ensuring that the licence holder's contact details and responsible gambling information are easily accessible to players. Bingoföreningen Sverige has been reprimanded for the violations and is required to address the identified shortcomings in information provision at both venues. The inspectorate's findings indicate gaps in the operator's compliance with regulatory requirements for player information and responsible gambling messaging in its bingo hall operations.
3042431 pc Apr 09, 2026 msolomon Kosovo Prime Minister's Office - Documents horizon scanning
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113 chars · nid 91784

Bill on Payment Services 07/04/2026

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3045542 pc Apr 09, 2026 adavies Iceland Official Gazette financial services
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Iceland's Central Bank Implements Regulations on Virtual Asset Markets

On 31 March 2026, Iceland's Central Bank (Seðlabanki Íslands) adopted regulations implementing Law No. 101/2025 on virtual asset markets. The regulations operationalise the European Union's Markets in Crypto-assets Regulation (MiCA), which entered into force across the European Economic Area (EEA) on 30 December 2023. The regulations establish detailed technical standards and procedures for virtual asset market participants operating in Iceland. Key areas covered include standardised forms and templates for crypto-asset white papers, sustainability indicators, and licensing applications for virtual asset service providers. The regulations also specify requirements for asset-referenced tokens and e-money tokens, including capital requirements, liquidity standards, and stress-testing frameworks. Additional provisions address conflict of interest policies, complaint handling procedures, market abuse prevention and detection mechanisms, and cooperation protocols between Icelandic and foreign regulatory authorities. The regulations further define record-keeping requirements for all virtual asset services, transactions, and activities, and establish procedures for approval of virtual asset white papers. The regulations incorporate multiple European Commission delegated and implementing regulations adopted between September 2024 and June 2025, which were incorporated into the EEA framework through joint EES Committee decisions. These technical standards align Iceland's regulatory framework with EU requirements for virtual asset market supervision and consumer protection. The regulations took effect immediately upon adoption on 31 March 2026.

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Iceland's Central Bank Publishes Regulations on Virtual Asset Markets

On April 8, 2026, Iceland's government published the regulations on virtual asset markets. The regulations further implement Act No. 101/2025 on virtual asset markets , implementing Regulation (EU) 2023/1114 (Markets in Crypto-Assets – MiCA). The regulations establish detailed technical standards and procedures for virtual asset market participants operating in Iceland. Specifically, it adopts several European delegated and implementing regulations, namely: Commission Implementing Regulation (EU) 2024/2545. Commission Implementing Regulation (EU) 2024/2494. Commission Implementing Regulation (EU) 2024/2861. Commission Implementing Regulation (EU) 2024/2902. Commission Implementing Regulation (EU) 2024/2984. Commission Delegated Regulation (EU) 2025/292. Commission Delegated Regulation (EU) 2025/293. Commission Delegated Regulation (EU) 2025/294. Commission Delegated Regulation (EU) 2025/296. Commission Delegated Regulation (EU) 2025/297. Commission Delegated Regulation (EU) 2025/298. Commission Delegated Regulation (EU) 2025/299. Commission Delegated Regulation (EU) 2025/300. Commission Delegated Regulation (EU) 2025/303. Commission Implementing Regulation (EU) 2025/304. Commission Delegated Regulation (EU) 2025/305. Commission Implementing Regulation (EU) 2025/306. Commission Delegated Regulation (EU) 2025/413. Commission Delegated Regulation (EU) 2025/414. Commission Delegated Regulation (EU) 2025/415. Commission Delegated Regulation (EU) 2025/416. Commission Delegated Regulation (EU) 2025/417. Commission Delegated Regulation (EU) 2025/418. Commission Delegated Regulation (EU) 2025/419. Commission Delegated Regulation (EU) 2025/885. Commission Delegated Regulation (EU) 2025/1125. Commission Implementing Regulation (EU) 2025/1126. Commission Delegated Regulation (EU) 2025/1140. Commission Delegated Regulation (EU) 2025/1141. Commission Delegated Regulation (EU) 2025/1142. Commission Delegated Regulation (EU) 2025/1264. The regulations enter into force immediately.
3046707 pc Apr 08, 2026 alapetina Argentina Ministry of Justice and Human Rights financial services
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Argentina's National Securities Commission Simplifies Corporate Oversight and External Audit Requirements

On April 8, 2026, Argentina's National Securities Commission (Comisión Nacional de Valores — CNV) approved General Resolution 1127, which deregulates and simplifies the regulatory framework governing corporate oversight of securities issuers and external auditors. The resolution addresses external audit requirements by aligning provisions with the International Code of Ethics for Professional Accountants, as adopted by the Argentine Federation of Professional Accountants (Federación Argentina de Consejos Profesionales de Ciencias Económicas — FACPCE). Key changes include enhanced disclosure requirements for fees charged by external auditors to public interest entities, strengthening transparency while consolidating internal control mechanisms. The resolution clarifies the scope of external audit function evaluation within the audit committee's and board of directors' respective responsibilities. For the External Auditors Registry, the resolution eliminates obsolete requirements and reorganises similar provisions to create clearer, more operational regulations with reduced information burdens. Regarding corporate oversight of securities issuers, the resolution establishes a new centralised scheme that systematises requirements for registration procedures, eliminating repetitions and facilitating interpretation and compliance. Concrete improvements for companies include eliminating certain procedures related to updating digital accounting and corporate registration systems, as well as storage media changes, provided essential conditions and regulatory principles are maintained. The resolution also unifies criteria, simplifies regulatory language, and reorganises articles and annexes to create more accessible regulation. CNV President Roberto E. Silva stated the resolution represents "firm progress in deregulation and simplification of CNV norms," advancing transparency while reducing administrative burdens and facilitating regulatory compliance. **Reference:** [RG 1127](https://www.argentina.gob.ar/)

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Argentina National Securities Commission Approves General Resolution 1127

On April 8, 2026, Argentina's National Securities Commission (CNV) approved General Resolution 1127, which deregulates and simplifies the regulatory framework governing corporate oversight of securities issuers and external auditors. The resolution addresses external audit requirements by aligning provisions with the International Code of Ethics for Professional Accountants . Key changes include: Enhanced disclosure requirements for fees charged by external auditors to public interest entities, strengthening transparency while consolidating internal control mechanisms. Clarification of the scope of external audit function evaluation within the audit committee's and board of directors' respective responsibilities. For the External Auditors Registry, the resolution eliminates obsolete requirements and reorganises similar provisions to create clearer, more operational regulations with reduced information burdens. Regarding corporate oversight of securities issuers, the resolution establishes a new centralised scheme that systematises requirements for registration procedures, eliminating repetitions and facilitating interpretation and compliance. An elimination of certain procedures related to updating digital accounting and corporate registration systems, as well as storage media changes, provided essential conditions and regulatory principles are maintained. T The resolution also unifies criteria, simplifies regulatory language, and reorganises articles and annexes to create more accessible regulation. According to the CNV's press release, the general resolution aims to comprehensively address the flexibility of the regime applicable to external auditing and corporate oversight of issuers, incorporating improvements aimed at strengthening transparency, reducing administrative burdens, and facilitating regulatory compliance.
3049608 gc Apr 08, 2026 nsairam Colombia SBC Noticias gamblingcompliance
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Peru's Banking Regulator Strengthens Anti-Money Laundering Controls for Gaming Operators

On April 8, 2026, Peru's Superintendencia de Banca, Seguros y Administradoras Privadas de Fondos de Pensiones (SBS) approved Resolution SBS N° 01015-2026, a new regulation strengthening anti-money laundering and counter-terrorism financing controls across the gaming sector. The resolution, signed by SBS Superintendent Sergio Espinosa Chiroque, updates standards that had remained unchanged for a decade and aligns Peru's framework with international best practices. The regulation applies to all legal entities authorised by the Ministry of Foreign Trade and Tourism (MINCETUR) to operate physical casinos, slot machines, sports betting, and online gaming platforms. Key requirements include mandatory implementation of a System for Prevention of Money Laundering and Terrorism Financing (SPLAFT) and annual training for employees and management on prevention and detection. Operators must establish customer due diligence policies to identify clients and suppliers, with enhanced controls for high-risk users including politically exposed persons and individuals under investigation for financial crimes. The resolution establishes a transaction registry requirement for operations exceeding USD 2,500 or its Peruvian sol equivalent, with records available to Peru's Financial Intelligence Unit. Suspicious transaction reporting must occur within 24 hours, with records retained for at least five years. Internal and external SPLAFT audits are mandatory, alongside adoption of prevention manuals, conduct codes, and technological reporting systems. Penalties for non-compliance exceed 40,000 soles. Operators must implement these controls to ensure compliance with the updated regulatory framework. The SBS will enforce the resolution through its supervisory authority over gaming entities in Peru.

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Peru publishes new anti-money laundering standards

On April 8, 2026, Peru's Superintendencia de Banca, Seguros y Administradoras Privadas de Fondos de Pensiones (SBS) approved a new regulation strengthening anti-money laundering and counter-terrorism financing controls across the gaming sector. Resolution SBS N° 01015-2026 updates the previous older framework, to align itself with international best practices. The resolution is applicable to all entities licensed by Peru's Ministry of Foreign Trade and Tourism (MINCETUR). The resolution outlines the following: Operators must implement of a System for Prevention of Money Laundering and Terrorism Financing (SPLAFT) and annual training for employees and management on prevention and detection. Operators must establish customer due diligence policies to identify clients and suppliers, with enhanced controls for high-risk users including politically exposed persons and individuals under investigation for financial crimes Operators must log operations exceeding USD 2,500 or its Peruvian sol equivalent, with records available to Peru's Financial Intelligence Unit. Operators must report suspicious transactions within 24 hours with records retained for at least five years. Operators must conduct internal and external SPLAFT audits alongside adoption of prevention manuals, conduct codes, and technological reporting systems. The resolution comes into effect immediately . Penalties for non-compliance exceed 40,000 soles.
3021597 pc Apr 08, 2026 kgurnani Australia AUSTRAC financial services
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Australia's AUSTRAC Releases Anti-Money Laundering Program Starter Kits for Newly Regulated Sectors

On 30 January 2026, the Australian Transaction Reports and Analysis Centre (AUSTRAC) released anti-money laundering and counter-terrorism financing (AML/CTF) program starter kits designed to support small businesses in newly regulated sectors to meet their compliance obligations under the AML/CTF Act. From 1 July 2026, businesses providing certain designated services commonly offered by lawyers, accountants, real estate agents, conveyancers and jewellers will be subject to AML/CTF obligations for the first time. The starter kits provide step-by-step guidance and practical tools to help these businesses build their own anti-money laundering programs and manage money laundering and terrorism financing risks. AUSTRAC chief executive Brendan Thomas stated that the kits represent the first time an anti-money laundering regulator globally has provided this level of practical support to business. The kits were developed in close collaboration with industry peak bodies and small businesses across the newly regulated sectors. They are designed to reduce the time, cost and effort required for typical small businesses to develop compliant programs while managing regulatory burden. The kits scale to business size and customer risk profiles, with AUSTRAC noting that most customers pose low to medium risk and compliance generally requires completion of three forms. The kits provide practical guidance on identifying higher-risk scenarios, including customers purchasing real estate with large amounts of physical currency, engaging in unusual unexplained behaviour, or using complex legal structures. AUSTRAC emphasises that the kits represent an ongoing partnership with industry to lower regulatory impost and combat money laundering, and will be updated as obligations, risks and industry practices evolve. Businesses in newly regulated sectors should access the starter kits on AUSTRAC's website and begin building their programs ahead of the 1 July 2026 implementation date.

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1990 chars · nid 91768

Australia's AUSTRAC Releases Anti-Money Laundering Program Starter Kits for Newly Regulated Sectors

On 30 January 2026, the Australian Transaction Reports and Analysis Centre (AUSTRAC) released anti-money laundering and counter-terrorism financing (AML/CTF) program starter kits designed to support small businesses in newly regulated sectors to meet their compliance obligations under the AML/CTF Act. From 1 July 2026, businesses providing certain designated services commonly offered by lawyers, accountants, real estate agents, conveyancers and jewellers will be subject to AML/CTF obligations for the first time. The starter kits provide step-by-step guidance and practical tools to help these businesses build their own anti-money laundering programs and manage money laundering and terrorism financing risks. AUSTRAC chief executive Brendan Thomas stated that the kits represent the first time an anti-money laundering regulator globally has provided this level of practical support to business. The kits were developed in close collaboration with industry peak bodies and small businesses across the newly regulated sectors. They are designed to reduce the time, cost and effort required for typical small businesses to develop compliant programs while managing regulatory burden. The kits scale to business size and customer risk profiles, with AUSTRAC noting that most customers pose low to medium risk and compliance generally requires completion of three forms. The kits provide practical guidance on identifying higher-risk scenarios, including customers purchasing real estate with large amounts of physical currency, engaging in unusual unexplained behaviour, or using complex legal structures. AUSTRAC emphasises that the kits represent an ongoing partnership with industry to lower regulatory impost and combat money laundering, and will be updated as obligations, risks and industry practices evolve. Businesses in newly regulated sectors should access the starter kits on AUSTRAC's website and begin building their programs ahead of the 1 July 2026 implementation date.
3018402 pc Apr 08, 2026 kgurnani Australia Reserve Bank of Australia horizon scanning
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Australia's Reserve Bank Publishes Conclusions on Merchant Card Payment Costs and Surcharging Reforms

On 31 March 2026, the Reserve Bank of Australia (RBA) published a Conclusions Paper setting out the final decisions of the Payments System Board (PSB) on its Review of Merchant Card Payment Costs and Surcharging. The PSB determined that a package of reforms promoting competition and efficiency in the payments system would serve the public interest. The key decisions include removing surcharging on debit, prepaid and credit cards across designated eftpos, Mastercard and Visa card networks. The PSB concluded that the surcharging framework, introduced over two decades ago, no longer achieves its intended purpose of steering consumers towards efficient payment choices. Increased prevalence of businesses applying uniform surcharges across all cards, enforcement challenges, and declining cash usage have reduced the regime's effectiveness. Removing surcharging will simplify card payments, enhance transparency and increase competition among payment service providers, aligning with consumer preferences for costs to be incorporated into advertised prices. The reforms also include lowering caps on interchange fees paid by Australian businesses for domestic and overseas card transactions, expected to reduce costs for businesses accepting card payments, with small businesses benefiting most. Additionally, the PSB will increase transparency over fees charged by card networks and payment service providers to strengthen competition and enable businesses to compare offerings more effectively. Most changes take effect on 1 October 2026, including surcharging removal and domestic interchange fee reductions. The introduction of interchange caps on foreign cards and payment cost transparency changes take effect on 1 April 2027 to allow the payments industry sufficient implementation time. The RBA plans to commence public consultation in mid-2026 on regulating additional retail payments areas including mobile wallets, three-party card networks, buy-now, pay-later services and e-commerce platforms.

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Australia's Reserve Bank Publishes Conclusions on Merchant Card Payment Costs and Surcharging Reforms

On 31 March 2026, the Reserve Bank of Australia (RBA) published a Conclusions Paper setting out the final decisions of the Payments System Board (PSB) on its Review of Merchant Card Payment Costs and Surcharging. The PSB determined that a package of reforms promoting competition and efficiency in the payments system would serve the public interest. The key decisions include: Removing surcharging on debit, prepaid and credit cards across designated eftpos, Mastercard and Visa card networks . The PSB concluded that the surcharging framework, introduced over two decades ago, no longer achieves its intended purpose of steering consumers towards efficient payment choices. Increased prevalence of businesses applying uniform surcharges across all cards, enforcement challenges, and declining cash usage have reduced the regime's effectiveness. Removing surcharging will simplify card payments, enhance transparency and increase competition among payment service providers, aligning with consumer preferences for costs to be incorporated into advertised prices. Lowering caps on interchange fees paid by Australian businesses for domestic and overseas card transactions , expected to reduce costs for businesses accepting card payments, with small businesses benefiting most. Increasing transparency over fees charged by card networks and payment service providers to strengthen competition and enable businesses to compare offerings more effectively. Most changes take effect on 1 October 2026, including surcharging removal and domestic interchange fee reductions. The introduction of interchange caps on foreign cards and payment cost transparency changes take effect on 1 April 2027 to allow the payments industry sufficient implementation time. The RBA plans to commence public consultation in mid-2026 on regulating additional retail payments areas including mobile wallets, three-party card networks, buy-now, pay-later services and e-commerce platforms. Increasing transparency over fees charged by card networks and payment service providers to strengthen competition and enable businesses to compare offerings more effectively. Most changes take effect on 1 October 2026, including surcharging removal and domestic interchange fee reductions. The introduction of interchange caps on foreign cards and payment cost transparency changes take effect on 1 April 2027 to allow the payments industry sufficient implementation time. The RBA plans to commence public consultation in mid-2026 on regulating additional retail payments areas including mobile wallets, three-party card networks, buy-now, pay-later services and e-commerce platforms.
3045705 pc Apr 08, 2026 alapetina Argentina Ministry of Justice and Human Rights financial services
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Argentina's Securities Commission Increases Fixed-Term Investment Limits for Money Market Funds

Argentina's National Securities Commission (Comisión Nacional de Valores, CNV) has expanded the individual investment percentage limits for money market funds (fondos comunes de inversión de dinero o Money Market Clásicos) in fixed-term deposits. The measure, developed through coordinated monitoring with the Central Bank of the Argentine Republic (Banco Central de la República Argentina, BCRA), increases the maximum investment limit in non-cancellable fixed-term deposits from 50 percent to 60 percent of fund assets. This increase applies when the average life of assets valued at accrual does not exceed 30 calendar days. Under this condition, the required liquidity margin may be constituted by an amount equivalent to no less than 65 percent of the total percentage of accrual-valued assets the fund holds in its portfolio. Additionally, the CNV increased the investment limit in cancellable fixed-term deposits from 50 percent to 60 percent of fund assets, while maintaining the combined maximum limit of 70 percent for investment across both fixed-term deposit modalities. The modifications aim to improve efficiency in asset allocation and optimise returns for investors while maintaining prudence principles and adequate risk and liquidity management for these funds. The changes are outlined in CNV Resolution General (RG) 1126. These adjustments reflect the CNV's ongoing coordination with the BCRA to monitor and refine regulatory frameworks governing money market fund operations in Argentina.

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Argentina National Securities Commission Increases Fixed-Term Investment Limits for Money Market Funds

On April 8, 2026, Argentina's National Securities Commission (CNV) issued General Resolution No. 1126, increasing the individual investment percentage limits for money market funds in fixed-term deposits. The measure, developed through coordinated monitoring with the Central Bank of the Argentine Republic (BCRA), increases the maximum investment limit in non-cancellable fixed-term deposits from 50 percent to 60 percent of fund assets. This increase applies when the average life of assets valued at accrual does not exceed 30 calendar days. Under this condition, the required liquidity margin may be constituted by an amount equivalent to no less than 65 percent of the total percentage of accrual-valued assets the fund holds in its portfolio. Additionally, the CNV increased the investment limit in cancellable fixed-term deposits from 50 percent to 60 percent of fund assets, while maintaining the combined maximum limit of 70 percent for investment across both fixed-term deposit modalities. The modifications aim to improve efficiency in asset allocation and optimize returns for investors while maintaining prudence principles and adequate risk and liquidity management for these funds. According to the CNV's press release, these adjustments reflect the CNV's ongoing coordination with the BCRA to monitor and refine regulatory frameworks governing money market fund operations in Argentina.
3044808 gc Apr 08, 2026 reprocess Lithuania Regulator - News gamblingcompliance
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Lithuania's Gambling Supervision Authority Fines Gaming Operator for Inadequate Customer Due Diligence

On April 2, 2026, the Gambling Supervision Authority (Lošimų priežiūros tarnyba, LPT) under Lithuania's Ministry of Finance imposed a fine of €468,350 on gaming operator VSGA, which operates the Casino Admiral brand, for failing to properly verify the source of customer funds. The investigation was initiated following information that an individual had lost substantial sums across multiple gaming companies, including VSGA. The LPT's examination determined that VSGA failed to comply with statutory requirements to collect information about customers and the origin of funds intended for gambling before permitting play. The LPT found that VSGA did not adequately monitor customer behaviour or identify suspicious transactions due to insufficient information about fund sources. The authority concluded that VSGA inadequately implemented requirements under the Money Laundering and Terrorist Financing Prevention Act, specifically regarding customer due diligence, ongoing transaction monitoring, and individual customer risk assessment. Additionally, VSGA failed to ensure that information concerning suspicious financial transactions was reported to the Financial Crime Investigation Service. In determining the penalty, the LPT considered mitigating circumstances, including VSGA's clean compliance history, absence of prior violations related to anti-money laundering and counter-terrorism financing requirements, and its cooperation with the authority during the investigation. The LPT provides annual training to gaming and lottery operators on strengthening anti-money laundering and counter-terrorism financing measures and has issued mandatory directives aimed at preventing money laundering and terrorist financing. The decision remains subject to judicial appeal.

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Lithuanian gaming regulator imposes fine of €468,350 on VSGA for AML failures

On April 8, 2026, the Lithuanian Gaming Supervisory Authority imposed a fine of €468,350 on gambling operator VSGA, which operates under the Casino Admiral brand, for breaches of anti-money laundering (AML) obligations. The enforcement action followed an investigation initiated after reports that an individual had incurred significant gambling losses across multiple operators, including VSGA. The regulator found that VSGA failed to adequately verify the origin of customer funds prior to permitting gambling activity, as required under applicable legislation. The regulator determined that the operator did not collect sufficient information on the customer’s source of funds, which impaired its ability to monitor gambling behaviour and identify potentially suspicious transactions. The authority concluded that VSGA failed to comply with requirements under the Law on the Prevention of Money Laundering and Terrorist Financing, including obligations relating to customer due diligence, ongoing monitoring of business relationships, and risk management. In addition, VSGA did not ensure the reporting of suspicious monetary transactions to the Financial Crimes Investigation Service, as required. In determining the penalty, the regulator took into account mitigating factors, including the absence of prior AML-related violations and the company’s cooperation during the investigation. The decision may be appealed before the competent court.
3063881 gc Apr 08, 2026 apintea Georgia Parliament - Bills gamblingcompliance
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Georgia's Parliament Receives Legislative Package on Gambling and Lottery Regulation Amendments

On April 8, 2026, the Georgian Parliament received a legislative package proposing amendments to Georgia's law on the organisation of lotteries, gambling, and games of chance. The Ministry of Finance of Georgia initiated the legislative package as the author, with the Government of Georgia serving as the sponsor. The proposal aims to introduce changes to the existing regulatory framework governing gambling and lottery activities within Georgia's jurisdiction. The legislative package has been registered with the Georgian Parliament's application programming interface (API) system and is now in the parliamentary procedure. Further details regarding the specific amendments proposed, their objectives, and the anticipated timeline for parliamentary consideration will emerge as the legislative process progresses. Stakeholders in Georgia's gambling and lottery sectors should monitor the parliamentary proceedings for updates on this legislative initiative, as the amendments may impact licensing, operational requirements, and regulatory compliance obligations for operators and service providers in these industries. REFERENCES: Georgian Parliament Official Website

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Draft law increasing financial penalties submitted to the Georgian parliament

On April 8, 2026, the government submitted a draft law proposing to amend the Gambling Law and increase the amount of penalties imposed on gambling operators and suppliers to the Georgian parliament. Pursuant to the proposal, the amount of the fine that can be imposed for failure to comply with legal requirements under the Georgian Gambling Law , is set to increase as follows: For casino licensees, from GEL7,000 to GEL20,000. For organisers of slot machine parlours, from GEL1,000 to GEL10,000. For gambling clubs, from GEL2,000 to GEL10,000. For gambling suppliers, from GEL2,000 to GEL10,000. For online gambling operators, from GEL7,000 to GEL20,000. If passed, the law is scheduled to enter into force 15 days following its publication.
3047794 gc Apr 08, 2026 prandeo Portugal Copy of News - Regulação e Inspeção de Jogos gamblingcompliance
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Portugal's Gaming Regulator Launches New Online Gaming Self-Exclusion Platform

On April 8, 2026, the Serviço de Regulação e Inspeção de Jogos (SRIJ), Portugal's gaming regulator, launched a new self-exclusion platform for online gaming and betting. The platform enables players and non-players to request self-exclusion from online games and betting, as well as to revoke such exclusions. Self-exclusions submitted through the platform apply across all licensed online gaming operators in Portugal, providing comprehensive player protection. The SRIJ designed the platform with a simplified and intuitive interface to streamline the self-exclusion request process. The platform is optimised for mobile devices, allowing users to submit requests conveniently via smartphones and tablets without compromising functionality. The launch reinforces the SRIJ's commitment to responsible gaming and player protection. The regulator aims to enhance the quality of its digital services and the effectiveness of gaming control mechanisms available to players through this updated platform. Players and non-players can access the self-exclusion platform directly through the SRIJ website.

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Portuguese gambling regulator launches new centralised self-exclusion platform for online gambling

On April 8, 2026, the Gaming Regulation and Inspection Service (SRIJ), launched a new platform for self-exclusion from online gambling, applicable across all licensed operators in Portugal. The platform allows both players and non-players to request self-exclusion from online gambling activities, including betting, as well as the revocation of gambling privileges. Self-exclusion requests submitted through the system apply to all licensed operators, ensuring a centralised and comprehensive mechanism. According to the regulator, the new platform introduces a simplified and more intuitive user interface, designed to facilitate quicker and more accessible self-exclusion requests. The system has also been optimised for mobile devices, enabling users to submit requests via smartphones and tablets. The launch forms part of the SRIJ’s broader efforts to strengthen responsible gambling measures and enhance player protection through improved digital tools.
3047759 gc Apr 08, 2026 apintea Czech Republic FIAU-news gamblingcompliance
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Czech Financial Analytical Unit Issues Methodological Guidance for Gaming Sector Entities

On April 8, 2026, the Czech Financial Analytical Unit (FAÚ) issued Methodological Guidance No. 6, directed at obligated entities operating in the gaming sector. The guidance was developed in response to a questionnaire survey conducted by the FAÚ within the gaming sector, practical needs identified in the industry, and the FAÚ's ongoing educational activities for non-financial sector obligated entities. The guidance addresses anti-money laundering and counter-terrorism financing (AML/CTF) prevention requirements applicable to gaming operators. The FAÚ developed the guidance in collaboration with the Czech Customs Administration and the Ministry of Finance. The methodological guidance provides obligated entities in the gaming sector with clarification on their AML/CTF obligations and best practices for compliance. Obligated entities in the Czech gaming sector should review and implement the requirements outlined in the guidance to ensure compliance with applicable AML/CTF regulations. **Reference:** Financial Analytical Unit (FAÚ) – Methodological Guidance No. 6 for obligated entities in the gaming sector

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Czech Financial Analytical Office publishes AML guidance for the gambling sector

On April 8, 2026, the Czech Financial Analytical Office (FIU) published guidance on anti-money laundering, counter terrorist financing and counter proliferation financing requirements for the gambling sector. The FIU developed the guidance in collaboration with the Czech Customs Administration and the Ministry of Finance, in response to a questionnaire survey conducted by the authority within the gaming sector at the end of 2025. The guidance provides obligated entities in the gaming sector with clarification on their AML/CTF obligations and best practices for compliance. Obligated entities in the Czech gaming sector should review and implement the requirements outlined in the guidance to ensure compliance with applicable AML/CTF regulations. The guidance, which will become effective on April 13, 2026, does not apply to raffle operators and non-remote lottery and bingo operators. An unofficial English translation of the guidance can be found here .
3049191 pc Apr 08, 2026 rghosh India Securities and Exchange Board of India financial services
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India's Securities and Exchange Board Amends Lock-In Requirements for Pledged Shares

On April 8, 2026, the Securities and Exchange Board of India (SEBI) issued Circular No. HO/49/(17)2026-CFD-POD2/I/8965/2026 addressing the mechanism for lock-in of pledged shares under the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018. The circular forms part of SEBI's ease of doing business initiative, which aims to streamline regulatory requirements and reduce compliance burden on market participants. The amendment modifies the lock-in provisions applicable to pledged shares, facilitating more flexible arrangements for promoters and other shareholders who pledge their securities as collateral. This development reflects SEBI's ongoing effort to balance investor protection with operational efficiency in India's capital markets. The lock-in mechanism for pledged shares is a key regulatory requirement affecting promoters, institutional investors, and other significant shareholders. By easing the restrictions on pledged shares, the amendment enables market participants to utilise their shareholdings more efficiently while maintaining appropriate safeguards. This change is particularly relevant for entities seeking to leverage their equity holdings for financing purposes without triggering unnecessary regulatory constraints. The circular is effective from the date of issuance and applies to all transactions involving pledged shares under the regulations. Market participants should review their existing pledging arrangements to ensure compliance with the updated framework. For further details and the complete circular, stakeholders should refer to SEBI's official website. **Reference:** SEBI Circular No. HO/49/(17)2026-CFD-POD2/I/8965/2026, April 8, 2026

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India's Securities and Exchange Board Amends Lock-In Requirements for Pledged Shares

On April 8, 2026, the Securities and Exchange Board of India (SEBI) issued a circular addressing the mechanism for lock-in of pledged shares under the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018. The circular forms part of SEBI's ease of doing business initiative, which aims to streamline regulatory requirements and reduce compliance burden on market participants. The amendment modifies the lock-in provisions applicable to pledged shares, facilitating more flexible arrangements for promoters and other shareholders who pledge their securities as collateral. This development reflects SEBI's ongoing effort to balance investor protection with operational efficiency in India's capital markets. The lock-in mechanism for pledged shares is a key regulatory requirement affecting promoters, institutional investors, and other significant shareholders. By easing the restrictions on pledged shares, the amendment enables market participants to utilise their shareholdings more efficiently while maintaining appropriate safeguards. This change is particularly relevant for entities seeking to leverage their equity holdings for financing purposes without triggering unnecessary regulatory constraints. The circular is effective from the date of issuance and applies to all transactions involving pledged shares under the regulations. Market participants should review their existing pledging arrangements to ensure compliance with the updated framework.
3044057 pc Apr 08, 2026 tojuri France Autorité des Marchés Financiers financial services
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France's Financial Markets Authority Fines Financial Investment Advisor and Directors for Professional Obligation Breaches

On April 7, 2026, the Autorité des marchés financiers (AMF) Enforcement Committee announced sanctions against Kerdiz Finance et Conseil, a financial investment advisor, and its directors Anthony Finck and Marc Peuvrier. The decision, issued on April 1, 2026, imposed a €300,000 fine on the company and €75,000 fines on each director for breaches of professional obligations committed between January 1, 2020 and June 28, 2023. The sanctions include a five-year temporary ban on exercising financial investment advisor activities. The Enforcement Committee found that Kerdiz Finance et Conseil falsely presented itself as an entity authorised as an investment services provider and inaccurately claimed to have obtained AMF authorisation to market Vivat Multitalent securities. The company failed to adequately identify and manage conflicts of interest relating to its commercial and ownership ties with the Vivat Multitalent group. It did not implement required product governance procedures to protect investors and failed to collect necessary information about distributed products. The committee also determined that Kerdiz Finance et Conseil marketed securities issued by Multitalent AG, Multitalent II AG, Multitalent III AG, and Multitalent Investment GmbH without verifying that asset management companies and depositaries had been appointed, and marketed securities whose distribution in France was prohibited. Additionally, the company conducted direct marketing for the Guyane Agricole offer without appropriate risk disclosures and failed to fulfil anti-money laundering and counter-terrorism financing obligations. The Enforcement Committee attributed all breaches to both directors, except those not notified to Finck. An appeal may be lodged against this decision. REFERENCE: Autorité des marchés financiers. "The AMF Enforcement Committee fines a financial investment advisor and its directors for breaches of their professional obligations." April 7, 2026. https://www.amf-france.org/en/news-publications/news/amf-enforcement-committee-fines-financial-investment-advisor-and-its-directors-breaches-their

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France's Financial Markets Authority Fines Financial Investment Advisor and Directors for Professional Obligation Breaches

In a decision dated April 1, 2026, the French Financial Markets Authority (AMF) imposed a €300,000 fine on Kerdiz Finance et Conseil, a financial investment advisor, for breaches of professional obligations committed between January 1, 2020 and June 28, 2023. The Enforcement Committee of the AMF found that Kerdiz Finance et Conseil falsely presented itself as an entity authorised as an investment services provider and inaccurately claimed to have obtained AMF authorisation to market Vivat Multitalent securities. The company failed to adequately identify and manage conflicts of interest relating to its commercial and ownership ties with the Vivat Multitalent group. It also failed to implement the only measure provided for in its procedure to manage the conflict of interest relating to its shareholding. The committee also found that the investment firm had failed to fulfil several of its obligations relating to anti-money laundering and combating the financing of terrorism, and had failed to exercise due diligence regarding the inspectors. The AMF also imposed fines of €75,000 each on two of the firms’ directors, to which it attributed all breaches, and imposed a temporary ban on the exercise of the activity of financial investment advisory for a period of five years.
3041551 pc Apr 08, 2026 tojuri Netherlands Dutch Senate horizon scanning
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Netherlands Implements Revised Consumer Credit Directive Through Legislative Amendment

On April 1, 2026, the Netherlands submitted a legislative proposal to implement Directive (EU) 2023/2225 on consumer credit agreements. The proposal, titled the Implementation Act for the Revised Consumer Credit Directive (Implementatiewet herziene richtlijn consumentenkrediet), amends multiple pieces of Dutch legislation to transpose the European Union directive into national law. The legislative proposal modifies the Financial Supervision Act (Wet op het financieel toezicht), Book 7 of the Dutch Civil Code (Burgerlijk Wetboek), the Consumer Protection Enforcement Act (Wet handhaving consumentenbescherming), and the Transitional Act for the New Civil Code (Overgangswet nieuw Burgerlijk Wetboek). The proposal is being prepared for written consideration by the Finance Committee (Commissie voor Financiën) in the Second Chamber (Tweede Kamer) of the Dutch Parliament. It has been signed by the Minister of Finance and the State Secretary for Justice and Security. The revised consumer credit directive aims to strengthen consumer protections within the European Union's credit market, updating rules governing consumer credit agreements. The implementation reflects the Netherlands' obligation to align national legislation with EU directives on consumer financial protection. The proposal is currently under consideration by the Second Chamber. The effective date will be determined by royal decree, which may vary for different articles or provisions of the legislation. Further details regarding the legislative timeline, including committee proceedings and parliamentary debate, will be established as the proposal progresses through the Dutch legislative process. REFERENCES: Eerste Kamer der Staten-Generaal. Implementatiewet herziene richtlijn consumentenkrediet (36.924). Available at: https://www.eerstekamer.nl/

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Dutch Minister of Finance Submits Bill on Implementing the Revised Consumer Credit Directive (Directive (EU) 2023/2225)

The Dutch Minister of Finance has submitted the “Implementing Act on the Revised Consumer Credit Directive” bill to the Dutch House of Representatives. The bill will ensure that the revised Consumer Credit Directive ( Directive (EU) 2023/2225 ) is implemented into Dutch law. The revised directive aims to strengthen consumer protection within the EU's credit market by updating the rules governing consumer credit agreements. Implementing the directive reflects the Netherlands' obligation to align its national legislation with EU directives on consumer financial protection. The proposal amends several pieces of Dutch legislation in order to transpose the European Union directive into national law. It modifies the Financial Supervision Act , Book 7 of the Dutch Civil Code and the Consumer Protection Enforcement Act . The bill includes supplementary provisions necessary for achieving the directive's objectives, including a ban on offering certain forms of credit to minors and an obligation for associates to verify the consumer’s age. Certain exceptions to the scope of application of the directive, as set out in Article 2 of the directive, have not been adopted, or have not been adopted in full. For example, the provision for setting an upper limit on the scope of application has not been adopted; therefore, larger credit agreements will fall within the scope of the legislation. Additionally, platforms offering credit agreements in the form of deferred payment without the use of a third party are not excluded from the scope. The bill also provides a legal basis for processing specific categories of personal data in the context of creditworthiness assessments in exceptional cases and under strict conditions. The effective date will be determined by royal decree and may vary for different articles or provisions of the legislation.
3041616 pc Apr 08, 2026 tojuri Netherlands Dutch Authority for the Financial Markets horizon scanning
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Netherlands Financial Authority Publishes Report on Artificial Intelligence Use in Asset Management Sector

On April 7, 2026, the Netherlands Authority for the Financial Markets (AFM) published a report examining artificial intelligence (AI) usage in the Dutch asset management sector. The report, titled "AI in the Dutch Asset Management Sector: Usage Grows, Risks Grow With It," investigates how AI is being deployed, sector developments, and associated risks. The AFM's findings reveal that AI adoption is accelerating across the sector, with some asset managers using AI for analysis, price forecasting, and trading strategy enhancement. However, organisational investment and infrastructure have not kept pace with usage growth. While a majority of institutions expect expenditure to increase in coming years to remain competitive, many currently allocate minimal or no budget for AI development. This creates a risk that institutions may become dependent on systems they cannot fully understand or control. The report identifies opportunities in operational efficiency, data processing improvements, and enhanced internal processes. Long-term benefits may include better portfolio selection and deeper market analysis, provided transparency towards investors regarding AI's role is maintained. However, the AFM identifies significant risks including poor data quality, algorithmic bias, limited explainability, and dependency on a limited number of technology providers. The report notes that many institutions are unprepared for these challenges: approximately one quarter lack policies governing employee AI usage, while more than two thirds lack specific policies for generative AI applications. Additionally, more than half lack ethics handbooks or codes of conduct addressing AI specifically. The AFM calls on the sector to assess its readiness for AI implementation by establishing clear usage policies, ensuring data quality, conducting thorough vendor assessments, and ensuring staff work with explainable and controllable models.

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Dutch Authority for the Financial Markets Publishes Report on Artificial Intelligence Use in Asset Management Sector

On April 7, 2026, the Dutch Authority for the Financial Markets (AFM) published a report examining the use of artificial intelligence (AI) in the Dutch asset management sector. The report, titled "AI in the Dutch Asset Management Sector: Usage Grows, Risks Grow With It", investigates how AI is being deployed, sector developments and associated risks. The AFM's findings reveal that AI adoption is accelerating across the sector, with some asset managers using AI for analysis, price forecasting and enhancing trading strategies. However, organisational investment and infrastructure have not kept pace with usage growth, creating a risk that institutions may become dependent on systems they cannot fully understand or control. The report identifies opportunities in operational efficiency, data processing improvements and enhanced internal processes. Long-term benefits may include better portfolio selection and deeper market analysis, provided transparency towards investors regarding AI's role is maintained. However, the AFM identifies significant risks, including poor data quality, algorithmic bias, limited explainability and dependency on a limited number of technology providers. The report notes that many institutions are unprepared for these challenges: approximately one quarter lack policies governing employee AI use, while more than two-thirds lack specific policies for generative AI applications. Additionally, more than half lack ethics handbooks or codes of conduct specifically addressing AI. The AFM calls on the sector to assess its readiness for AI implementation by establishing clear usage policies, ensuring data quality, conducting thorough vendor assessments and ensuring that staff work with explainable, controllable models.
3040987 pc Apr 08, 2026 tojuri Netherlands Dutch Authority for the Financial Markets horizon scanning
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Netherlands Financial Authority Issues Guidance on Liquidity Management Instruments Under AIFMD II

On March 17, 2026, the Netherlands Authority for the Financial Markets (AFM) published guidance on liquidity management instruments (LMTs) under the Alternative Investment Fund Managers Directive II (AIFMD II), which comes into effect on April 16, 2026. AIFMD II introduces new requirements for liquidity risk management. Managers of open-end funds must select and implement at least two relevant LMTs—tools used to manage liquidity risk during market stress. The available LMTs include: suspension of subscriptions, redemptions and repayments; temporary and partial restrictions on redemption requests; extension of notice periods; redemption fees; swing pricing; dual pricing; anti-dilution levies; redemption in kind; and side pockets. Suspension of subscriptions, redemptions and repayments, and side pockets are automatically available to all funds and do not count toward the minimum two-LMT requirement. Managers cannot rely solely on swing pricing or dual pricing to meet the minimum requirement. For money market funds licensed under the Money Market Funds Regulation, only one LMT is required. Managers must develop detailed policies and procedures governing the selection, activation, deactiveration and calibration of chosen LMTs. These policies must be incorporated into fund documentation and the broader liquidity risk management framework. Existing funds established before April 16, 2026 benefit from a one-year transition period for implementing specific characteristics of selected LMTs, though all other requirements apply from April 16, 2026. Managers must notify the AFM of selected LMTs, related policies, and any activation or deactivation by April 16, 2026. An updated notification procedure via the AFM portal is available from March 18, 2026. Managers should monitor the AFM website for further updates.

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Dutch Authority for the Financial Markets Issues AIFMD II Update on Liquidity Management Tools

The Dutch Authority for the Financial Markets (AFM) has published an update on the application of Directive (EU) 2024/927 , the Alternative Investment Fund Managers Directive (AIFMD II) in relation to liquidity management tools. AIFMD II introduces new requirements for liquidity risk management and the use of liquidity management tools (LMTs). Managers of open-ended funds, including open-ended AIFs and UCITS, must have at least two relevant LMTs and an associated LMT policy. These must be selected from the list in points (2) to (8) of Annex V of Directive 2011/61/EU . A revised reporting procedure has been established for this purpose, and the AFM update is intended to support managers in preparing for their new obligations in good time. The update states that additional LMTs beyond those provided in the annex are possible but will not count towards the legal minimum requirements. An appropriate LMT policy is also a mandatory component of liquidity management. Managers must have detailed policies and procedures in place for the chosen instruments. These policies and procedures must cover the selection, activation, deactivation, and calibration of the chosen LMTs, as well as the operational and administrative arrangements for their use. By April 16, 2026, managers must have selected at least two LMTs for the open-ended funds they manage and must have established policies and procedures for activation and deactivation. Investment institutions established before April 16, 2026, may use the one-year transitional period exclusively for the practical implementation of the specifications regarding the features and characteristics of the selected LMTs. The amended reporting procedure has been available since March 18, 2026, for LMT-related reports, which must be submitted via the AMF Portal. For existing funds that undergo changes in the context of LMTs, notifications can be submitted via the portal using a specific form. This notification must be submitted by 16 April 2026 at the latest.
3043952 gc Apr 08, 2026 reprocess United Kingdom Advertising Standards Authority gamblingcompliance
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United Kingdom's Advertising Standards Authority Upholds Ruling Against Skill on Net Ltd's Gecko Play Instagram Advertisement

On 8 April 2026, the Advertising Standards Authority (ASA) upheld a ruling against Skill on Net Ltd trading as Gecko Play for a paid Instagram advertisement that breached United Kingdom advertising codes on gambling. The advertisement, posted on 1 February 2026, featured a stand-up comedian performing a routine comparing gambling to eating pistachios, stating: "Gambling is really like eating pistachios, if you get a good pistachio, you want another good one, if you get a bad one, you want a good one even more." The ad included an 18+ age restriction, GambleAware logo, and a responsible gambling message, but the ASA determined these disclaimers were insufficient to counteract the overall message. Two complainants challenged whether the advertisement encouraged socially irresponsible gambling behaviour. The ASA concluded that the analogy trivialised repeated gambling participation and implied that individuals should continue gambling after losses to secure wins. The comedic presentation and audience laughter further undermined the seriousness with which gambling decisions should be treated. The ASA determined the advertisement breached the Advertising Codes and Permissions (CAP Code) Edition 12, specifically rules 16.1, 16.3, and 16.3.1 on gambling advertising, which require that marketing communications must not portray, condone, or encourage socially irresponsible gambling behaviour or behaviour that could lead to financial, social, or emotional harm. Skill on Net Ltd accepted the breach, removed the advertisement, and updated its internal marketing guidance. The ASA directed the company to ensure future advertisements do not trivialise gambling or encourage frequent and repetitive participation, particularly following losses.

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Skill on Net Ltd

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3041479 pc Apr 07, 2026 ataylor US Track 2 Financial Crimes Enforcement Network horizon scanning
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United States Financial Crimes Enforcement Network Proposes Anti-Money Laundering and Terrorism Financing Program Amendments

On April 7, 2026, the Financial Crimes Enforcement Network (FinCEN) released a Notice of Proposed Rulemaking (NPRM) regarding amendments to its anti-money laundering and countering the financing of terrorism (AML/CTF) programs. The NPRM outlines proposed modifications to FinCEN's existing AML/CTF regulatory framework, which establishes requirements for financial institutions to detect, prevent, and report suspicious activities related to money laundering and terrorism financing. The proposed amendments are designed to strengthen compliance obligations and enhance the effectiveness of the Bank Secrecy Act (BSA) regime in identifying and disrupting illicit financial flows. The NPRM is relevant to all financial institutions subject to BSA requirements, including banks, money services businesses, and other covered entities. The proposed changes aim to address evolving money laundering and terrorism financing risks and improve coordination between financial institutions and law enforcement agencies. FinCEN invites public comment on the proposed amendments. The comment period details and submission procedures are available in the full NPRM document. Stakeholders, including financial institutions, compliance professionals, and industry associations, are encouraged to review the proposal and submit feedback during the designated comment window. Following the close of the comment period, FinCEN will review submissions and determine whether to adopt, modify, or withdraw the proposed amendments. **Reference:** Financial Crimes Enforcement Network (FinCEN). Anti-Money Laundering and Countering the Financing of Terrorism Programs. Notice of Proposed Rulemaking. April 7, 2026. Available at: https://www.fincen.gov

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US Financial Crimes Enforcement Network Issues Notice of Proposed Rulemaking to Reform Financial Institution AML/CFT Programs

On April 7, 2026, the Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking (NPRM) intended to reform financial institutions’ anti-money laundering and countering the financing of terrorism (AML/CFT) programs under the Bank Secrecy Act (BSA). According to FinCEN, the proposed rule introduces a number of key reforms to AML/CFT program compliance and supervision, including, but not limited to: refocuses compliance obligations and expectations on effectiveness by distinguishing between deficiencies stemming from program design and implementation; empowers financial institutions to devote more attention and resources toward higher risks rather than toward lower risks; clarifies expectations related to certain program requirements and functions—including independent testing and audit functions—to ensure that examiners and auditors do not substitute their subjective judgment in place of financial institutions’ risk-based and reasonably designed AML/CFT programs; and affirms FinCEN’s central role in AML/CFT supervision, including through the introduction of a notice and consultation framework between Federal banking supervisors and FinCEN with respect to significant AML/CFT supervisory actions. Key features of the proposed rule include: Establish vs. Maintain Requirement: The proposed rule would require financial institutions to both establish and maintain effective AML/CFT programs, making clear that compliance involves not just creating a program but also implementing it in practice. Risk-Based Program Design: The rule would require institutions to adopt a risk-based approach, meaning they must develop internal policies, procedures, and controls that are tailored to their specific money laundering and terrorist financing risks. These risk assessments must incorporate regulatory priorities and be updated whenever the institution’s risk profile changes. Core Program Components: The AML/CFT program would need to include core components, such as ongoing employee training, independent testing of the program, and the designation of a responsible compliance officer located in the United States who is accessible to regulators. Ongoing Program Updates: The proposal emphasizes that AML/CFT programs must be continuously updated, not treated as one-time efforts. If an institution fails to revise its program in response to significant risk changes, it may be considered noncompliant even if the program was originally adequate. Implementation: A key change in the rule is the explicit distinction between failing to establish a program and failing to implement it properly. This distinction is intended to clarify expectations and guide supervisory and enforcement actions. Higher Threshold for Enforcement: For banks, the rule would raise the threshold for enforcement actions based on implementation issues, so that only significant or systemic failures (rather than minor or technical deficiencies) would trigger major supervisory or enforcement responses. Expanded FinCEN Oversight: The rule would expand FinCEN’s role in supervision by requiring regulatory agencies to consult with FinCEN before taking significant supervisory actions and to provide advance notice, allowing FinCEN to review and offer input. Resource Allocation: Regulators would evaluate whether institutions are allocating resources appropriately based on their risk assessments and whether they are addressing known gaps that could undermine the effectiveness of their AML/CFT programs. According to FinCEN's press release announcing the NPRM, the proposed rule would revise FinCEN’s regulations to reflect statutory changes made by the Anti-Money Laundering Act of 2020 . The proposed revision of AML/CFT programs fully supersedes a prior proposed rule FinCEN published on July 3, 2024, and FinCEN is withdrawing that proposed rule. Public comments on the proposed rule must be received within 60 days after publication of the NPRM in the Federal Register. Comments may be submitted electronically at https://www.regulations.gov/ or mailed to the following address: Regulatory and Strategic Affairs Division, Financial Crimes Enforcement Network, P.O. Box 39, Vienna, VA 22183.  Refer to Docket Number FINCEN-2026-0034 and RIN 1506-AB72.
3041459 pc Apr 07, 2026 ataylor Canada News - Canadian Investment Regulatory Organization financial services
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Canadian Investment Regulatory Organization Sets 2027 Annual Priorities to Strengthen Investor Protection

On April 7, 2026, the Canadian Investment Regulatory Organization (CIRO) released its Annual Priorities for fiscal year 2027 (April 1, 2026, to March 31, 2027). The priorities outline a focused set of actions to strengthen investor protection, enhance market integrity, and support confidence in Canada's capital markets. This represents the final year of CIRO's 2025–2027 Strategic Plan. CIRO's 2027 Annual Priorities focus on six strategic objectives. Integration activities will wrap up key initiatives to reduce regulatory complexity, including publishing a final harmonized rulebook consolidating investment dealer and mutual fund dealer rules and advancing reforms to registration and continuing education frameworks. Investor research, education, and protection initiatives will include efforts to remove fraudulent websites, improve account transfer processes, and review complaint handling resolution timelines. CIRO will also modernize its regulatory approach by enhancing operational efficiency through technology and automation, expanding its regulatory sandbox InnovateSafe, and strengthening cyber resilience across the industry through new data frameworks and targeted exercises. Access to advice remains a priority, with focus on assessing and refining the regulatory framework for tailored online advice. Registration and proficiency modernization will operationalize delegated registration responsibilities across Canada, improving efficiency and consistency in how registrants are overseen. Market regulation enhancements will include publishing CIRO's first annual Market Regulation report and reviewing Universal Market Integrity Rules (UMIR) to better support smaller dealers and junior issuers. Alexandra Williams, Senior Vice-President, Strategy, Innovation, and Stakeholder Protection at CIRO, stated the organization will remain agile and responsive to emerging risks and changing market conditions. The priorities were developed considering CIRO's ability to deliver strategic objectives, industry changes requiring regulatory pivots, and impacts to members, investors, and stakeholders. REFERENCES: Canadian Investment Regulatory Organization. (2026, April 7). CIRO Sets 2027 Annual Priorities to Strengthen Investor Protection and Advance Regulatory Evolution. Retrieved from https://www.ciro.ca/news-releases/ciro-sets-2027-annual-priorities-strengthen-investor-protection-and-advance-regulatory

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Canadian Investment Regulatory Organization Publishes 2027 Annual Priorities

On April 7, 2026, the Canadian Investment Regulatory Organization (CIRO) released its Annual Priorities for fiscal year 2027 (April 1, 2026, to March 31, 2027), marking the final phase of its 2025–2027 Strategic Plan . According to CIRO's press release , the priorities build on prior integration and modernization efforts, the priorities focus on completing the harmonization of rules and processes, strengthening investor protection, supporting innovation and access to advice, enhancing cyber resilience, and promoting proportionate market regulation. CIRO will execute its agenda under the umbrella of its' Strategic Plan's six pillars. Integration: CIRO will complete the final phase of its structural integration by publishing a fully harmonized rulebook for investment dealers and mutual fund dealers, while advancing targeted rulemaking to eliminate legacy distinctions between the two frameworks. This includes consulting on and finalizing amendments to support an incorporated advisor compensation model (for CSA approval), introducing Phase 2 changes to fully align the Continuing Education (CE) regime (including credits, cycles, exemptions, and reporting), and progressing the retirement of the dual registration construct by repealing outdated proficiency upgrade requirements and codifying existing exemptive relief for dual-registered firms. Investor Research, Education and Protection: CIRO will focus on strengthening investor outcomes by reviewing complaint handling timelines, expanding its fraudulent website disruption initiative with the Canadian Securities Administrators (CSA), and leveraging prior research to refine investor protection and disclosure requirements. It will also publish findings on behavioral “speed bumps” for self-directed investors, advance improvements to the account transfer process, and introduce “Reasonable Safeguards” guidance to support consistent and practical compliance with Client-Focused Reforms. Regulatory Evolution: CIRO will continue advancing a more efficient, technology-enabled regulatory model by expanding automation across its Policy, Compliance, and Registration functions, while supporting industry innovation through its InnovateSafe sandbox. In parallel, it will strengthen cyber resilience by consulting on a new data collection and management framework for firms and registered individuals, and by conducting targeted cybersecurity tabletop exercises for small and mid-sized member firms. Access to Advice: CIRO will evaluate the regulatory framework for tailored online advice by assessing stakeholder feedback and identifying potential rule changes to better support broader, more accessible delivery of regulated advice through digital channels. Registration and Proficiency: CIRO will operationalize delegated registration responsibilities for mutual fund and investment dealer functions across all Canadian jurisdictions. Market Regulation: CIRO will publish its first annual Market Regulation report and reviewing the Universal Market Integrity Rules (UMIR) to identify amendments that better accommodate small dealers and junior issuers while maintaining market integrity.
3041243 gc Apr 07, 2026 nsairam Colombia SBC Noticias gamblingcompliance
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Dominican Republic Establishes Licensing Requirements for Casino Operations on Cruise Ships

The Dominican Republic's Ministry of Finance and Economy has introduced licensing requirements for cruise ships operating casinos within the country's territorial waters through Resolution 164-2026. All first-category cruise ships that dock at Dominican ports, anchor, or navigate in national waters and wish to operate gaming rooms or casinos must obtain an official licence. The licensing fees vary according to passenger capacity. Cruise ships carrying between 2,000 and 3,499 passengers must pay one million Dominican pesos, whilst those with 3,500 or more passengers must pay 1.5 million Dominican pesos. The measure aims to regulate casino operations within the country's legal framework and strengthen the tourism sector by expanding entertainment offerings linked to maritime tourism. Casino operations are subject to strict regulatory and financial controls. Operators must comply with anti-money laundering and counter-terrorism financing requirements, implementing necessary controls and procedures to prevent illicit activity. The resolution defines casino rooms as spaces within first-category cruise ships that offer gaming services to tourists aboard vessels docking at Dominican ports. This regulatory framework establishes the requirements that first-category cruise ships must meet to legally operate gaming facilities whilst in Dominican waters. The initiative represents a formalised approach to regulating an existing activity within the country's tourism industry, ensuring compliance with financial crime prevention standards whilst generating revenue through licensing fees.

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Cruise ships with casinos operating in the Dominican Republic must have a license

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3041242 gc Apr 07, 2026 nsairam Colombia SBC Noticias gamblingcompliance
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Brazil's Sports Ministry Establishes Permitted Sports Betting Modalities

On an unspecified date in 2026, Brazil's Ministry of Sport (MEsp) published Resolution MESP No. 27/2026 to regulate which sports modalities and sports practice entities may be subject to fixed-odds betting on real sporting events. The resolution was signed by Minister Paulo Henrique Cordeiro. Under the resolution, only sports and modalities expressly listed by MEsp may be subject to sports betting. The permitted list includes modalities recognised by the International Olympic Committee (IOC), the International Paralympic Committee (IPC), and the International Committee of Sports for the Deaf (ICSD), as well as sports included in the Pan American Games programme that do not coincide with the Olympic programme. The resolution also covers modalities practised by persons with disabilities, sports classified as having significant popularity, equestrian modalities recognised by law, and esports tournaments authorised or licensed by intellectual property rights holders of videogames. For esports specifically, tournaments may only be subject to betting when the developer or intellectual property rights holder provides a licence or authorisation. The resolution prohibits these actors from restricting betting activity to a single operator or imposing exclusivity, ensuring equitable access and free competition. The resolution prohibits betting on non-professional sporting events not officially recognised by competent entities, particularly those involving participants without links to recognised sports entities or outside professionalisation criteria. Betting on formative categories and events involving exclusively minors is also prohibited. MEsp clarified that the resolution does not constitute official recognition of the listed modalities but solely regulates which sports may form part of fixed-odds betting offerings under Law No. 14,790/2023 and Interministerial Resolution MF/MESP/AGU No. 28/2024. MEsp will maintain an updated list of permitted betting modalities.

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Brazil: establish the modalities allowed for betting

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3030197 pc Apr 07, 2026 kgurnani Australia Australian Securities and Investments Comission horizon scanning
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Australia's Financial Services Regulator Remakes Non-Cash Payment Facilities Exemption Instrument

On February 2026, the Australian Securities and Investments Commission (ASIC) remade ASIC Corporations (Non-Cash Payment Facilities) Instrument 2026/167, extending relief previously provided under ASIC Corporations (Non-Cash Payment Facilities) Instrument 2016/211. The new instrument extends exemptions for low-risk non-cash payment facilities from aspects of the financial services licensing regime under the Corporations Act 2001 until April 2031. ASIC assessed that the previous instrument was operating effectively and efficiently and determined it remained a necessary and useful part of the legislative framework. The remake includes technical updates but does not alter the operation of the relief. The instrument provides exemptions for travellers' cheques, which are exempt from transaction confirmation requirements; loyalty schemes and road toll facilities, which are not subject to financial services laws; prepaid mobile facilities and some non-reloadable gift facilities, which are exempt from licensing, conduct, and disclosure obligations; and low-value non-cash payment products, which are also exempt from licensing, conduct, and disclosure obligations. Additionally, relief is provided so that Australian Financial Services (AFS) licensees who provide advice about or arrange payment services do not require additional authorisation on their AFS licence. ASIC invited feedback on the remake proposal in October 2025. The instrument will be revisited once the government's payments licensing reforms, designed to modernise the regulatory framework for payment service providers, take effect. The remake ensures continued regulatory relief for these low-risk payment facilities during the transition period.

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Australia's Financial Services Regulator Remakes Non-Cash Payment Facilities Exemption Instrument

On April 2 2026, the Australian Securities and Investments Commission (ASIC) remade ASIC Corporations (Non-Cash Payment Facilities) Instrument 2026/167 , extending relief previously provided under ASIC Corporations (Non-Cash Payment Facilities) Instrument 2016/211 . The new instrument extends exemptions for low-risk non-cash payment facilities from aspects of the financial services licensing regime under the Corporations Act 2001 until April 2031. ASIC assessed that the previous instrument was operating effectively and efficiently and determined it remained a necessary and useful part of the legislative framework. The remake includes technical updates but does not alter the operation of the relief. The instrument provides exemptions for: Travellers' cheques, which are exempt from transaction confirmation requirements. Loyalty schemes and road toll facilities, which are not subject to financial services laws. Prepaid mobile facilities and some non-reloadable gift facilities, which are exempt from licensing, conduct, and disclosure obligations. Low-value non-cash payment products, which are also exempt from licensing, conduct, and disclosure obligations. Additionally, relief is provided so that Australian Financial Services (AFS) licensees who provide advice about or arrange payment services do not require additional authorisation on their AFS licence. The instrument will be revisited once the government's payments licensing reforms, designed to modernise the regulatory framework for payment service providers, take effect. The remake ensures continued regulatory relief for these low-risk payment facilities during the transition period. Low-value non-cash payment products, which are also exempt from licensing, conduct, and disclosure obligations. Additionally, relief is provided so that Australian Financial Services (AFS) licensees who provide advice about or arrange payment services do not require additional authorisation on their AFS licence. The instrument will be revisited once the government's payments licensing reforms, designed to modernise the regulatory framework for payment service providers, take effect. The remake ensures continued regulatory relief for these low-risk payment facilities during the transition period.
3039503 pc Apr 07, 2026 reprocess Australia Australian Securities and Investments Comission horizon scanning
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Australia's Corporate Regulator and Accounting Standards Board Launch Free Sustainability Reporting Workshops

On March 2025, the Australian Securities and Investments Commission (ASIC) and the Australian Accounting Standards Board (AASB) announced a series of free in-person workshops to help smaller and mid-size companies prepare for mandatory sustainability reporting requirements. The joint initiative targets companies beginning their sustainability reporting journey, particularly those preparing to commence reporting for financial years commencing on or after 1 July 2026. The workshops complement ASIC's recently released e-learning modules on sustainability reporting core concepts. Delivered by the University of Technology Sydney (UTS), the workshops feature expert-led presentations, discussions and practical activities covering climate science basics, climate-related physical risks, transition risks, and climate-related opportunities. Participants will include employees, directors, shareholders, creditors and owners of small-to-medium businesses seeking to enhance their understanding of foundational sustainability reporting concepts. The workshops are scheduled across four Australian cities in May 2025: Melbourne (12 May, 9am to 12:45pm), Brisbane (14 May, 9am to 12:45pm), Sydney (19 May, 9am to 12:45pm), and Perth (26 May, 9am to 12:45pm). ASIC has developed eight educational modules covering the Corporations Act climate-related disclosure requirements, climate change introduction, physical and transition risks, opportunities, emissions accounting, scenario analysis, and governance and risk management. Companies should register their interest early as places are limited. Registration deadlines vary by location: Melbourne (20 April), Brisbane (20 April), Sydney (27 April), and Perth (4 May). ASIC notes it will adopt a pragmatic and proportionate approach to supervision and enforcement as the new requirements are phased in. Additional resources including Regulatory Guide 280 Sustainability Reporting and AASB S2 Climate-related Disclosures educational materials are available online.

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The Australian Securities and Investments Commission and Australian Accounting Standards Board Team Up to Help Smaller Companies Get Ready for Sustainability Reporting

The Australian Securities and Investments Commission (ASIC) and Australian Accounting Standards Board (AASB) will host a series of free in-person workshops to help companies prepare for the new mandatory sustainability reporting requirements. The joint workshops are designed to provide a practical starting point for smaller and mid-size companies at the beginning of their sustainability reporting journey, particularly those preparing to commence reporting for financial years commencing on or after 1 July 2026. This follows ASIC’s recent release of e-learning modules on the core concepts underpinning the sustainability reporting requirements. The workshops complement the e-learning modules by providing participants the opportunity to network and share practical insights about the modules with peers at a similar stage in their transition to sustainability reporting. The workshops will feature expert-led presentations, discussions and practical activities to help participants apply key concepts with confidence. Participants will learn about: the basics of climate science climate-related physical risks climate-related transition risks, and climate-related opportunities. Workshops will be held in May across Sydney, Melbourne, Brisbane and Perth, and will be delivered by the University of Technology Sydney (UTS). Companies should express their interest by registering on the relevant links on this site .
3041897 gc Apr 07, 2026 apintea Malta Malta Gaming Authority-news gamblingcompliance
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Malta Gaming Authority Cancels Authorisation of Winzon Group Limited

On 11 March 2026, the Malta Gaming Authority (MGA) is proceeding with the cancellation of authorisation bearing reference number MGA/B2C/717/2019 issued to Winzon Group Limited. The cancellation is being executed in accordance with regulation 10(2)(b) of the Gaming Compliance and Enforcement Regulations (S.L. 583.06). As part of the cancellation process, Winzon Group Limited is required to undertake several actions. The company must notify all players of the cancellation via electronic mail and through its website for a period of 30 days, and refund all player monies in accordance with the Gaming Act (Chapter 583 of the Laws of Malta). The company must submit a transaction report extracted from its back-end system, together with supporting bank statements, to the MGA attesting that all player funds have been remitted to registered players. Additionally, Winzon Group Limited must process personal data in accordance with its privacy policy and applicable data protection legislation, and remove all references to the MGA and the authorisation in accordance with Article 51 of the Gaming Act. The MGA has also directed the company to settle outstanding fees amounting to €46,693.23, comprising the annual licence fee and minimum compliance contributions owed under the Gaming Licence Fees Regulations (S.L. 583.03). The Authority has issued administrative penalties of €147,080 under Article 25(3) of the Gaming Act and regulation 8(1)(d) of the Regulations due to the company's numerous shortcomings in contravention of the Act and regulatory instruments. Winzon Group Limited remains liable for all applicable obligations under the Gaming Act and other applicable regulatory instruments. The MGA reserves the right to take further measures to recover outstanding dues should the company fail to comply.

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Malta Gaming Authority cancels Winzon Group Limited’s licence

On April 7, 2026, the Malta Gaming Authority (MGA) issued a press release stating that the authorisation issued for Winzon Group Limited has been cancelled effective from March 11, 2026. The cancellation is being executed in accordance with Article 10(2)(b) of the Gaming Compliance and Enforcement Regulation . The Authority has also issued administrative penalties of €147,080 under Article 25(3) of the Gaming Act and Article 8(1)(d) of the regulations due to the company's numerous shortcomings in contravention of the Act and regulatory instruments. Winzon Group Limited is also required to undertake several actions: Notify all players of the cancellation via electronic mail and through its website for a period of 30 days, and refund all player monies in accordance with the Gaming Act (Chapter 583 of the Laws of Malta). Submit a transaction report extracted from its back-end system, together with supporting bank statements, to the MGA attesting that all player funds have been remitted to registered players. Process personal data in accordance with its privacy policy and applicable data protection legislation, and remove all references to the MGA and the authorisation. The MGA has also directed the company to settle outstanding fees amounting to €46,693.23, comprising the annual licence fee and minimum compliance contributions owed under the Gaming Licence Fees Regulations .
3040225 pc Apr 07, 2026 rghosh Taiwan Executive Yuan horizon scanning
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Taiwan's Financial Supervisory Commission Amends Securities Broker Foreign Securities Trading Management Rules

On April 7, 2026, Taiwan's Financial Supervisory Commission (FSC) issued an amendment to the Securities Broker Commissioned Trading of Foreign Securities Management Rules, modifying Articles 6-1 and 6-2. This follows a draft announcement made on February 12, 2026. The amendment represents the latest in a series of regulatory updates to the management rules governing how securities brokers handle foreign securities trading on behalf of clients. The FSC has progressively refined these regulations over several years, with previous amendments addressing Articles 14 and 23 in June 2025, Article 23 in May 2024, and broader provisions in September 2020. The current amendment specifically targets provisions related to commissioned trading procedures and client protections in foreign securities transactions. The modification also relates to updates to the Securities Broker Wealth Management Business Precautions, indicating a coordinated regulatory approach across multiple aspects of securities broker operations. These rules establish standards for securities brokers engaging in wealth management activities and foreign securities trading, ensuring compliance with Taiwan's securities market regulations. The amendment became effective on April 7, 2026. Securities brokers operating in Taiwan must ensure compliance with the updated provisions. The FSC continues to refine its regulatory framework to address evolving market conditions and protect investor interests in cross-border securities transactions. Further details on the specific amendments are available through Taiwan's Executive Yuan Gazette. **Reference:** Executive Yuan Gazette (行政院公報), Volume 32, Issue 60, April 7, 2026

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Taiwan's Financial Supervisory Commission Amends Securities Broker Foreign Securities Trading Management Rules

On April 7, 2026, Taiwan's Financial Supervisory Commission (FSC) issued an amendment to the Securities Broker Commissioned Trading of Foreign Securities Management Rules . The amendment represents the latest in a series of regulatory updates to the management rules governing how securities brokers handle foreign securities trading on behalf of clients. The current amendment specifically targets provisions related to commissioned trading procedures and client protections in foreign securities transactions. The modification also relates to updates to the Securities Broker Wealth Management Business Precautions, indicating a coordinated regulatory approach across multiple aspects of securities broker operations. These rules establish standards for securities brokers engaging in wealth management activities and foreign securities trading, ensuring compliance with Taiwan's securities market regulations. The amendment became effective on April 7, 2026. Securities brokers operating in Taiwan must ensure compliance with the updated provisions. The FSC continues to refine its regulatory framework to address evolving market conditions and protect investor interests in cross-border securities transactions.
3035360 pc Apr 07, 2026 csoo Ireland Department of Finance horizon scanning
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Ireland Launches Public Consultation and Testing Phase for Government Digital Wallet

On April 3, 2026, Ireland's Department of Public Expenditure, Infrastructure, Public Service Reform and Digitalisation (DPER) announced the launch of a public consultation and testing phase for the Government Digital Wallet. Minister Jack Chambers and Minister of State Frank Feighan led the announcement, which represents a key milestone in Ireland's Digital Public Service Plan 2030. The Government Digital Wallet will enable Irish citizens to store important documents digitally on their mobile devices, including birth certificates, driving licences, European health insurance cards, and other official documents. The wallet aims to streamline access to public services and identity verification both online and in person, while reducing the need for citizens to repeat information across multiple government departments. The wallet will incorporate data protection safeguards, with users retaining full control over what information they store and share. The development involves multiple government departments: DPER and the Department of Public Expenditure, Infrastructure, Public Service Reform and Digitalisation are leading the initiative, whilst the Department of Culture, Communications and Sport (DCCS) is undertaking legislative work, and the Department of Social Protection (DSP) is providing support. The wallet will also facilitate secure age verification capabilities as outlined in Digital Ireland and the Online Safety Code, supporting child protection online. Ireland must deliver the Digital Wallet by the end of 2026 to comply with the European Union's eIDAS 2 Regulation, which mandates all Member States make a digital wallet available by this deadline. Members of the public can register to participate in the testing phase and provide feedback via gov.ie/DigitalWallet. The consultation page will remain live, with further updates provided through campaign channels and social media in the coming weeks and months.

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Ireland Launches Public Consultation and Testing Phase for Government Digital Wallet

On April 3, 2026, Ireland's Department of Public Expenditure, Infrastructure, Public Service Reform and Digitalisation (DPER) announced the launch of a public consultation and testing phase for the Government Digital Wallet. Minister Jack Chambers and Minister of State Frank Feighan led the announcement, which represents a key milestone in Ireland's Digital Public Service Plan 2030. The Government Digital Wallet will enable Irish citizens to store important documents digitally on their mobile devices, including birth certificates, driving licences, European health insurance cards, and other official documents. The wallet aims to streamline access to public services and identity verification both online and in person, while reducing the need for citizens to repeat information across multiple government departments. The wallet will incorporate data protection safeguards, with users retaining full control over what information they store and share. The development involves multiple government departments: DPER and the Department of Public Expenditure, Infrastructure, Public Service Reform and Digitalisation are leading the initiative, whilst the Department of Culture, Communications and Sport (DCCS) is undertaking legislative work, and the Department of Social Protection (DSP) is providing support. The wallet will also facilitate secure age verification capabilities as outlined in Digital Ireland and the Online Safety Code, supporting child protection online. Ireland must deliver the Digital Wallet by the end of 2026 to comply with the European Union's eIDAS 2 Regulation, which mandates all Member States make a digital wallet available by this deadline. Members of the public can register to participate in the testing phase and provide feedback via gov.ie/DigitalWallet. The consultation page will remain live, with further updates provided through campaign channels and social media in the coming weeks and months.
3039714 pc Apr 07, 2026 rghosh Singapore Monetary Authority of Singapore horizon scanning
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Singapore Amends Securities and Futures Act to Enable Global Listing Board Framework

On April 7, 2026, Singapore's Minister for National Development and Deputy Chairman of the Monetary Authority of Singapore (MAS), Chee Hong Tat, moved the Securities and Futures (Amendment) Bill 2026 for First Reading in Parliament on behalf of Deputy Prime Minister and Minister-in-charge of the MAS, Gan Kim Yong. The Bill seeks to implement a regulatory regime for the Global Listing Board (GLB), a dual-listing platform that Singapore Exchange Securities Trading (SGX) and Nasdaq Stock Market (Nasdaq) will establish. The GLB enables issuers to simultaneously list on both exchanges under a streamlined regulatory framework. The Bill also grants MAS flexibility to adopt similar frameworks for dual-listing arrangements with other overseas exchanges in future. The Bill introduces a new Part 13A into the Securities and Futures Act 2001 (SFA), empowering MAS to make regulations facilitating dual-listing boards through a streamlined process. Key amendments include: MAS may declare an overseas exchange as a "prescribed overseas exchange" and a dual-listing board as a "prescribed DLB"; MAS may make regulations to replace, modify, or disapply offer-related and market misconduct provisions in the SFA to harmonise differences between Singapore's securities laws and foreign jurisdictions; and safe harbours available in foreign jurisdictions may be provided, though these do not apply to fraud or dishonesty. Additional amendments apply to all offers generally. Issuers may now disseminate preliminary prospectuses when marketing to retail investors, subject to safeguards including a prohibition on official offers based on preliminary prospectuses. For sponsored depositary receipt offers, the issuer of underlying securities, rather than the depositary, must register the prospectus, ensuring investors receive information about the issuer. MAS conducted public consultation on key amendments, with comments incorporated into the Bill. The criteria MAS will consider when prescribing a dual-listing board include whether the overseas exchange enhances issuers' access to liquidity and international investors, and operates in a jurisdiction with securities laws aligned with international standards in disclosure, enforcement, and regulatory co-operation. REFERENCES: Monetary Authority of Singapore. "Explanatory Brief: The Securities and Futures (Amendment) Bill 2026." Published April 7, 2026. Available at: https://www.mas.gov.sg/

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Singapore Amends Securities and Futures Act to Enable Global Listing Board Framework

On April 7, 2026, the Monetary Authority of Singapore (MAS) moved the Securities and Futures (Amendment) Bill 2026 for First Reading in Parliament. The Bill seeks to implement a regulatory regime for the Global Listing Board (GLB), a dual-listing platform that Singapore Exchange Securities Trading (SGX) and Nasdaq Stock Market (Nasdaq) will establish. The GLB enables issuers to simultaneously list on both exchanges under a streamlined regulatory framework. The Bill also grants MAS flexibility to adopt similar frameworks for dual-listing arrangements with other overseas exchanges in future. The Bill introduces a new Part 13A into the Securities and Futures Act 2001 (SFA) , empowering MAS to make regulations facilitating dual-listing boards through a streamlined process. Key changes include: MAS may declare an overseas exchange as a "prescribed overseas exchange" and a dual-listing board as a "prescribed DLB". MAS may make regulations to replace, modify, or disapply offer-related and market misconduct provisions in the SFA to harmonise differences between Singapore's securities laws and foreign jurisdictions; and safe harbours available in foreign jurisdictions may be provided, though these do not apply to fraud or dishonesty. Additional amendments apply to all offers generally. Issuers may now disseminate preliminary prospectuses when marketing to retail investors, subject to safeguards including a prohibition on official offers based on preliminary prospectuses. For sponsored depositary receipt offers, the issuer of underlying securities, rather than the depositary, must register the prospectus, ensuring investors receive information about the issuer. MAS conducted public consultation on key amendments, with comments incorporated into the Bill. The criteria MAS will consider when prescribing a dual-listing board include whether the overseas exchange enhances issuers' access to liquidity and international investors, and operates in a jurisdiction with securities laws aligned with international standards in disclosure, enforcement, and regulatory co-operation.
3036634 gc Apr 07, 2026 reprocess France ANJ (regulator) (check manually) gamblingcompliance
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France's National Gaming Authority Reviews Operator Action Plans on Excessive Gambling and Underage Play Prevention

Between November 2025 and March 2026, France's Autorité nationale des jeux (ANJ) examined prevention action plans for excessive gambling and underage play submitted by all gambling operators in the country. This included two exclusive rights holders, 17 licensed online operators, 210 casinos and gaming clubs, and 231 racetracks. The ANJ acknowledged progress made by the sector but emphasised that additional efforts are required to achieve its central regulatory priority: a significant reduction in the number of excessive players by 2027. According to the French Monitoring Centre for Drugs and Drug Addiction (OFDT), approximately 1.17 million problematic players existed in 2024, including 360,000 classified as excessive. A 2025 survey by the Association for Research and Prevention of Gaming Excess (ARPEJ) found that 42.6 percent of young people aged 15 to 17 reported gambling at least once annually, an increase from 34.8 percent in 2021. For the two monopolies (Française des Jeux and Pari Mutuel Urbain), the ANJ approved their plans while requiring stricter enforcement of underage sales prohibitions and more effective identification systems for excessive players at physical points of sale. For 17 licensed online operators, the ANJ noted substantial progress, with excessive players identified increasing threefold from 31,000 to 89,000 between 2024 and 2025. However, the ANJ requested further identification efforts aligned with player populations and prevalence studies. For casinos, results remained uneven, with some establishments performing well while others identified insufficient excessive players relative to their attendance levels. One casino's plan was rejected. The ANJ also directed the National Federation of Horse Racing (FNCH) to strengthen excessive player identification in racetracks and enhance child protection measures, ensuring family areas remain separate from betting spaces.

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Review of action plans Prevention of excessive and underage gaming by gambling operators: real efforts from the entire sector that need to be consolidated over time

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3041878 pc Apr 07, 2026 reprocess South Africa Reserve Bank of South Africa horizon scanning
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South Africa's Financial Regulators Publish Proposed Eligibility Criteria for Mandatory Central Clearing of Over-the-Counter Derivatives

On April 7, 2026, the Financial Sector Conduct Authority (FSCA) and the Prudential Authority (PA) published a Joint Discussion Document for public consultation on proposed eligibility criteria for mandatory central clearing of over-the-counter (OTC) derivative transactions in South Africa. The Joint Discussion Document outlines the Authorities' proposals to advance implementation of mandatory central clearing in the South African OTC derivatives market. It sets out the proposed eligibility criteria that the FSCA and PA intend to apply when determining which OTC derivative transactions should be subject to mandatory central clearing requirements. The document identifies categories of OTC derivative transactions that may be suitable for mandatory central clearing, based on current data and information available to the Authorities. The framework aims to establish a structured approach to central clearing obligations while considering market conditions and transaction characteristics specific to the South African derivatives market. Stakeholders, including market participants, financial institutions, and other interested parties, are invited to submit comments on the proposed framework and transaction scope during the public consultation period. The consultation enables the Authorities to gather feedback on the eligibility criteria and transaction categories before finalising the mandatory central clearing requirements. Responses should be submitted to the FSCA and PA through their respective websites. The specific deadline for submissions should be confirmed on the Authorities' official websites where the Joint Discussion Document and supporting annexures are available. REFERENCES: Financial Sector Conduct Authority and Prudential Authority Joint Communication 2 of 2026

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South Africa's Reserve Bank Issues Consultation on OTC Derivatives

On April 7, 2026 the Financial Sector Conduct Authority (FSCA) and the Prudential Authority (PA) of South Africa jointly published a discussion document proposing eligibility criteria for the mandatory central clearing of over-the-counter (OTC) derivative transactions. The proposal forms part of South Africa’s broader regulatory roadmap to strengthen oversight of OTC derivatives markets and align with G20 commitments to improve transparency, reduce counterparty risk, and enhance financial stability following the global financial crisis. Under the proposed framework, OTC derivatives would be subject to mandatory clearing if they meet certain criteria, including a high level of contractual and operational standardisation, sufficient trading volumes, and adequate market liquidity. The authorities indicated that, based on preliminary analysis of market activity, South African rand-denominated interest rate swaps and forward rate agreements (FRAs) may be the first instruments considered for mandatory central clearing. The document also outlines considerations such as the impact on market stability, the availability and suitability of central counterparties (CCPs), and potential effects on market competitiveness. Mandatory clearing would only take effect once an appropriately licensed CCP is operational in South Africa. The FSCA and PA have invited industry feedback and data submissions from OTC derivative providers and other stakeholders, with comments requested by June 5, 2026, before finalising the determination and developing the corresponding regulatory standards.
3037929 pc Apr 07, 2026 tojuri Spain News and Media financial services
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Spain's National Securities Market Commission Publishes Digital Persuasion Guidance for Investors

On April 6, 2026, Spain's National Securities Market Commission (Comisión Nacional del Mercado de Valores, CNMV) published guidance titled "Digital Persuasion for Investors". The guidance analyses the primary engagement techniques used by investment platforms, applications, and websites to influence investor decision-making and provides strategies to mitigate their effects. The CNMV identifies digital engagement practices as specific persuasion techniques designed to capture consumer attention, attract users, and guide them towards particular investment decisions. While these techniques can generate positive outcomes, they may also harm consumers by encouraging decisions contrary to their interests. The guidance highlights key differences between traditional strategies and sophisticated, personalised digital techniques currently employed in investment markets. The CNMV details common digital persuasion mechanisms including drip pricing (revealing additional costs incrementally), sludge (creating unnecessary obstacles to discourage actions such as account cancellation), framing (presenting information to alter perception without changing underlying facts), and scarcity claims (creating artificial urgency). The guidance provides 11 recommendations for investors to make informed decisions in digital environments, including verifying platform authorisation, understanding products and real costs before investing, avoiding pressure-driven decisions, comparing alternatives, identifying gamification elements, limiting notification exposure, being conscious of personal data usage, avoiding trend-following without analysis, planning investments with clear objectives, pursuing financial education, and maintaining critical attitudes towards information. The guidance forms part of the CNMV's broader investor education initiative aimed at enhancing financial literacy. Additional educational resources are available on the CNMV's website. REFERENCE: https://www.cnmv.es/

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Spain's National Securities Market Commission Publishes Digital Persuasion Guidance for Investors

On April 6, 2026, Spain's National Securities Market Commission (Comisión Nacional del Mercado de Valores, CNMV) published guidance titled "Digital Persuasion for Investors". The guidance analyses the primary engagement techniques used by investment platforms, applications, and websites to influence investor decision-making and provides strategies to mitigate their effects. The CNMV identifies digital engagement practices as specific persuasion techniques designed to capture consumer attention, attract users, and guide them towards particular investment decisions. While these techniques can generate positive outcomes, they may also harm consumers by encouraging decisions contrary to their interests. The guidance highlights key differences between traditional strategies and sophisticated, personalised digital techniques currently employed in investment markets. The CNMV details common digital persuasion mechanisms including drip pricing (revealing additional costs incrementally), sludge (creating unnecessary obstacles to discourage actions such as account cancellation), framing (presenting information to alter perception without changing underlying facts), and scarcity claims (creating artificial urgency). The guidance provides 11 recommendations for investors to make informed decisions in digital environments, including verifying platform authorisation, understanding products and real costs before investing, avoiding pressure-driven decisions, comparing alternatives, identifying gamification elements, limiting notification exposure, being conscious of personal data usage, avoiding trend-following without analysis, planning investments with clear objectives, pursuing financial education, and maintaining critical attitudes towards information. The guidance forms part of the CNMV's broader investor education initiative aimed at enhancing financial literacy. Additional educational resources are available on the CNMV's website. REFERENCE: https://www.cnmv.es/
3035887 pc Apr 07, 2026 rghosh Thailand Bank of Thailand financial services
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Thailand's Central Bank Opens Consultation on Financial Institution Reporting Requirements for Suspicious Transactions

On April 3, 2025, the Bank of Thailand (BOT) opened a public consultation on draft principles governing the reporting of suspicious transactions and unusual behaviour by financial institutions to the BOT. The consultation period runs until May 3, 2025, with 30 days remaining for stakeholders to submit feedback. The BOT has established reporting requirements applicable to commercial banks, specialised financial institutions, subsidiaries of foreign commercial banks, branches of foreign banks, and electronic payment service providers that are not financial institutions. These entities must prepare and submit reports to enable the BOT to conduct analysis and supervision of their operations. Financial institutions must begin submitting reports from June 2025 onwards, with the exception of subsidiaries and foreign bank branches, which must commence reporting from September 2025. The BOT is implementing four standardised reporting forms: suspicious customer behaviour reports prior to enhanced due diligence (EDD); EDD examination results; transaction details related to EDD; and automated teller machine (ATM) data. The reporting framework aims to strengthen financial crime prevention, enhance consumer protection, and standardise data infrastructure across the financial services sector. The initiative supports the BOT's broader objective of managing risks associated with customer financial services, ensuring appropriate customer due diligence aligned with risk levels, and preventing financial institutions from being used as channels for financial crime. The BOT will maintain confidentiality of all submissions and use personal data solely for the purposes of this consultation. Stakeholders wishing to submit comments or request additional information should contact the BOT's Financial Institution Data Division at DMD-FIDataT@bot.or.th or by telephone at 02 283 5141 or 02 356 7401.

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1905 chars · nid 91737

Thailand's Central Bank Opens Consultation on Financial Institution Reporting Requirements for Suspicious Transactions

On April 3, 2025, the Bank of Thailand (BOT) opened a public consultation on draft principles governing the reporting of suspicious transactions and unusual behaviour by financial institutions to the BOT. The consultation period runs until May 3, 2025, with 30 days remaining for stakeholders to submit feedback. The BOT has established reporting requirements applicable to commercial banks, specialised financial institutions, subsidiaries of foreign commercial banks, branches of foreign banks, and electronic payment service providers that are not financial institutions. These entities must prepare and submit reports to enable the BOT to conduct analysis and supervision of their operations. Financial institutions must begin submitting reports from June 2025 onwards, with the exception of subsidiaries and foreign bank branches, which must commence reporting from September 2025. The BOT is implementing four standardised reporting forms: suspicious customer behaviour reports prior to enhanced due diligence (EDD); EDD examination results; transaction details related to EDD; and automated teller machine (ATM) data. The reporting framework aims to strengthen financial crime prevention, enhance consumer protection, and standardise data infrastructure across the financial services sector. The initiative supports the BOT's broader objective of managing risks associated with customer financial services, ensuring appropriate customer due diligence aligned with risk levels, and preventing financial institutions from being used as channels for financial crime. The BOT will maintain confidentiality of all submissions and use personal data solely for the purposes of this consultation. Stakeholders wishing to submit comments or request additional information should contact the BOT's Financial Institution Data Division at DMD-FIDataT@bot.or.th or by telephone at 02 283 5141 or 02 356 7401.
3066140 pc Apr 06, 2026 pdonofrio Alabama Alabama Securities Commission financial services
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1459 chars · nid 91984

Alabama Legislature Enacts HB 259: Stablecoin Regulation

On April 6, 2026, the Alabama Legislature enacted HB 259 , the Financial Innovation and Market Expansion Act, to establish a regulatory framework for the issuance and sale of payment stablecoins within the state. The new law establishes a comprehensive licensing and oversight regime, governed by the Alabama Securities Commission (ASC), designed to ensure the security and safety of stablecoins. The law prohibits any individual rom issuing a stablecoin in Alabama unless they are classified as a permitted payment stablecoin issuer (PPSI), a status that requires the issuer to be formed and headquartered in the United States. Additionally, beginning in 2028, the law bars digital asset service providers from offering or selling stablecoins in Alabama unless they are issued by a PPSI. Other provisions of the law include, but are not limited to: Mandating that all stablecoins be fully backed on a one-to-one basis by US dollars or short-term Treasury bonds. Requiring PPSIs to undergo quarterly independent attestations by a registered accounting firm. Authorizing state government agencies to recognize and use certain authorized stablecoins to make payments to vendors and contractors. Granting the ASC the authority to conduct examinations, investigate violations and issue civil penalties. Establishing a priority claim for stablecoin holders in the event of an issuer’s insolvency or receivership. The law takes effect on October 1, 2026 .
3039454 pc Apr 06, 2026 rghosh Singapore Singapore Statutes Online RSS Feed horizon scanning
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Singapore Amends Companies Regulations to Strengthen Director Eligibility and Compliance Requirements

On 6 April 2026, Singapore's Ministry of Finance published the Companies (Amendment) Regulations 2026, which comes into operation on 6 May 2026. The amendment modifies Form 45 of the Second Schedule to the Companies Regulations, establishing enhanced eligibility criteria and compliance obligations for company directors and officers. The regulations expand the scope of disqualifying offences for directors to include convictions under the Limited Liability Partnerships Act 2005 and the Variable Capital Companies Act 2018. Key amendments introduce a five-year lookback period for assessing director fitness, capturing convictions for fraud, dishonesty, securities violations, and corruption offences. The amendment specifically references convictions under Part 12 of the Securities and Futures Act 2001 (from 1 July 2015 onwards) and offences under the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act 1992 (from 6 May 2026 onwards). The regulations strengthen provisions relating to directors of struck-off companies, modifying thresholds and introducing exceptions for disqualification periods that have expired. Additional safeguards address variable capital companies, aligning eligibility criteria across different corporate structures. Significantly, the amendment introduces a new acknowledgement requirement (paragraph bc) requiring directors to confirm awareness of obligations under the Companies Act 1967 and commit to using the company for legitimate business purposes in compliance with applicable laws. This provision explicitly references risks including money laundering, fraud, scams, and activities prejudicial to public peace, welfare or good order in Singapore, with acknowledgement that misuse may result in regulatory or legal action. The amendment applies to all companies, limited liability partnerships, and variable capital companies registered in Singapore.

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1881 chars · nid 91748

Singapore Amends Companies Regulations

On 6 April 2026, Singapore's Ministry of Finance published the Companies (Amendment) Regulations 2026. The amendment modifies Form 45 of the Second Schedule to the Companies Regulations, establishing enhanced eligibility criteria and compliance obligations for company directors and officers. The regulations expand the scope of disqualifying offences for directors to include convictions under the Limited Liability Partnerships Act 2005 and the Variable Capital Companies Act 2018 . Key amendments introduce a five-year lookback period for assessing director fitness, capturing convictions for fraud, dishonesty, securities violations, and corruption offences. The amendment specifically references convictions under Part 12 of the Securities and Futures Act 2001 (from 1 July 2015 onwards) and offences under the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act 1992. The regulations strengthen provisions relating to directors of struck-off companies, modifying thresholds and introducing exceptions for disqualification periods that have expired. Additional safeguards address variable capital companies, aligning eligibility criteria across different corporate structures. Significantly, the amendment introduces a new acknowledgement requirement  requiring directors to confirm awareness of obligations under the Companies Act 1967 and commit to using the company for legitimate business purposes in compliance with applicable laws. This provision explicitly references risks including money laundering, fraud, scams, and activities prejudicial to public peace, welfare or good order in Singapore, with acknowledgement that misuse may result in regulatory or legal action. The amendment applies to all companies, limited liability partnerships, and variable capital companies registered in Singapore and comes into force on May 6, 2026.
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